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Karen Tyler

Commissioner
ND Securities Department
600 East Boulevard Avenue
State Capitol, 5th Floor
Bismarck, ND 58505-0510
Phone: (701)-328-2910
Toll Free: (800)-297-5124
Fax: (701)-328-2946
Grafton Office
701 W 6th Street, #312
Grafton, ND 58237
Phone: 701-352-4592

Enforcement Actions

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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 Datesort descending
Edward D. Jones & Co., L.P., DeAnne Gierke Consent Order Jul 18 2003
Dulon, L.L.P. Desist and Refrain Order Jul 28 2003
Preferred Trust and Management, LTD, Troy Borud Consent Order Jul 28 2003
David C. Gess Aug 11 2003
Preferred Trust and Management, LTD, Gary L. Bryans Consent Order Aug 27 2003
CGF Securities, LLC Order for Summary Suspension of the Dealer Registration Sep 2 2003
David C. Gess Sep 8 2003
CGF Securities, LLC Order to Vacate Sep 10 2003
Grainline.com, Inc., Scott D. Olson, Kent Sortland Cease and Desist Order Sep 11 2003
Kent Johanneson Consent Order Sep 18 2003
Lehman Brothers Inc. Administrative Order Sep 22 2003
L. H. Ross & Co., Inc., Mintz & Fraade, P.C., Michael Assenza, Kelly Chance, Shannon Norris, Dean Baker Cease and Desist Order Oct 1 2003
Possible Technologies, Inc. , A/k/A The Right Reason, Treacy Duerfeld Oct 1 2003
Debra Ann Lund Consent Order Oct 6 2003
Goldman, Sachs & Co. Consent Order Oct 7 2003

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Related Items

Publications

Investor Bill of Rights

When You Invest, You Have the Right to...

When Your Broker Calls, Take Notes!

A two-page form for investors to take notes when they talk with their broker. The form provides basic questions investors should ask their securities salesperson, checkoff boxes and ample space to take notes.

Forms

Complaint Form

If you believe you are a victim of securities fraud or have concerns about your investment account, you may file a complaint with the North Dakota Securities Department.  To file a complaint, complete the complaint form and submit by mail, fax or