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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
Email: ndsecurities@nd.gov
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 ascending
Questar Capital Corporation Settlement Agreement Jul 31 2017
Susan L. Welo, Welo Wealth Management Cease and Desist Order, Notice of Right to Request Hearing Jul 21 2017
SagePoint Financial, Inc. Consent Agreement Jul 15 2016
Douglas E. Arends Cease and Desist Order, Notice of Civil Penalty, Notice of Right to Request Hearing Jul 12 2016
First Financial Equity Corporation Agreement Jun 13 2016
Kevin D. Wanner, Precision Financial Services, Questar Capital Corporation Order to Revoke the Agent Registration Dec 31 2015
Kevin D. Wanner, Precision Financial Services, Questar Capital Corporation Proposed Order to Revoke Agent Registration, Cease and Desist Order, Order for Summary Suspension of the Agent Registration, Notice of Right to Request Hearing Dec 4 2015
Halcyon Cabot Partners, Ltd. Order to Revoke the Dealer Registration Nov 24 2015
Halcyon Cabot Partners Order to Revoke the Dealer Registration, Order for Summary Suspension of the Dealer Registration, Notice of Right to Request Hearing Oct 12 2015
Paul De Bastos, North Dakota Bakken Connection, LLC Cease and Desist Order, Notice of Civil Penalty, Notice of Right to Request Hearing Jun 16 2015
Panda Trucking, LLC, Daniel E. Jenkins Consent to Entry of Order, Consent Order Jun 12 2015
North Dakota Developments, LLC, Robert Lee Gavin, Daniel John Hogan Cease and Desist Order, Notice of Right to Request Hearing May 5 2015
Panda Trucking, LLC, Daniel E. Jenkins Cease and Desist Order, Order for Rescission, Notice of Right to Request Hearing, Order for Civil Penalty Jan 26 2015
Dempsey Lord Smith, LLC Consent to Entry of Order, Consent Order Jan 20 2015
J. P. Morgan Securities, LLC Administrative Consent Order Aug 24 2014

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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