Enforcement Actions
The North Dakota Securities Department has taken numerous actions against individuals and firms that have violated the North Dakota securities laws. The actions are searchable by the individual’s name, business name, type of action, or year. If you have further questions or require additional information related to a listed action, please contact our office.
Search Enforcement Actions in North Dakota
| Name / DBA | Enforcement Type |
Date |
|---|---|---|
| Piper Jaffray & Co. | Consent Order | Dec 4 2006 |
| Banker's Life and Casualty Company | Consent Order | Nov 17 2006 |
| Philip Moshier | Consent Agreement | Nov 7 2006 |
| Berthel Fisher and Company Financial Services, Inc., Timothy Hayden | Consent Order | Oct 31 2006 |
| Ready Cash, Inc., Donald Gehrig | Consent Agreement | Oct 30 2006 |
| James Wahl | Consent Order | Oct 30 2006 |
| Lester Westgard | Consent Agreement | Oct 23 2006 |
| ACAP Financial, Inc., Donald Fisher | Consent Agreement | Oct 10 2006 |
| Lincoln Financial Advisors Corp. | Consent Agreement | Oct 9 2006 |
| Investment Centers of America, Inc., Larry A. Fust | Consent Agreement | Sep 14 2006 |
| Michael L. Puklich | Consent Order | Sep 11 2006 |
| Capital Growth Financial, LLC, Ross O. Haugen | Sep 6 2006 | |
| David A. Skjerven, Skjerven Financial Services | Cease and Desist Order | Aug 31 2006 |
| ProTrust Financial Group, Inc., ProTrust Management Group, Inc., Gordon B. Grigg | Cease and Desist Order | Jun 28 2006 |
| Piper Jaffray & Co., Brady Vollmers | Consent Order | Jun 28 2006 |
