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Karen Tyler

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
Dale F. Roehrich Notice of Civil Penalty Jun 3 2005
Government Benefit Services, Glen W. Finley, Jr. Cease and Desist Order Jul 5 2005
Pruco Securities, LLC Consent Order Jul 15 2005
Waddell & Reed, Inc. Consent Order Jul 29 2005
A. G. Edwards & Sons, Inc., Daniel M. Schmidt Notice of Civil Penalty Aug 11 2005
Deutsche Bank Securities, Inc. Administrative Consent Order Aug 26 2005
Piper Jaffray & Co., Brady Vollmers Notice of Civil Penalty Aug 29 2005
CD Acquisition Corp., David Mees Order for Civil Penalty Sep 7 2005
Dale F. Roehrich Consent Order Oct 26 2005
Kevin David Wells Nov 14 2005
I2U, Inc., Harold Richard Mladek Cease and Desist Order Nov 22 2005
Dominion Investments, Inc., Tony Adams Cease and Desist Order Dec 8 2005
Kevin David Wells Order to Revoke the Agent Registration Dec 9 2005
Thomas Weisel Partners, LLC Administrative Consent Order Jan 13 2006
Dakota Payphone, LLC Jan 13 2006


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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.


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