nd.gov - The Official Portal for North Dakota State Government
North Dakota: Legendary. Follow the trail of legends

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

enforcement badge

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
For Champions Only, The Winner's Circle, Tom Kincaid Cease and Desist Order Mar 24 1998
The Piddler" International Downline Building Co-Op, The Sharing Funds Foundation, Eugene Henley, Frank Molonar, Ronald Readling" Cease and Desist Order Mar 11 1998
Prosper International League, Ltd., Prosper International, Ltd., Universal Marketing, Charles Miller Cease and Desist Order Feb 13 1998
Magnum Petroleum, Jerry Nichter Cease and Desist Order Feb 3 1998
Tradeway Securities Group, Inc. Consent Order Jan 28 1998
Spectra Media, Inc., Affiliated Limited Liability Companies, Treasure Chest Television Affiliates, Century Financial Services, Windfall Financial Group, Management Services, Lyle Noorlun, Valerie Joy Williams, Chris Davis, Vicki Roberts Cease and Desist Order Jan 16 1998
Temper of the Times Communications, Inc. Consent Order Dec 9 1997
Harvey Senn, Lutheran Brotherhood Securities Corporation Nov 7 1997
International Benevolence Fund Trust, Frank R. Johnson Cease and Desist Order Oct 15 1997
ECAP Financial Investment Banking, Inner Systems Industries, Inc., Marie Fortune, William Mueger Cease and Desist Order Oct 10 1997
Centex Securities, Inc. f/k/a La Jolla Securities Corporation, Bruce A. Biddick Consent Order Oct 6 1997
Arrow Environmental Remediation Operations, Hank M. Kendrick Cease and Desist Order Sep 22 1997
The Infinity Group Company, Geoff Benson Cease and Desist Order Aug 15 1997
Michael C. Parke, Michael C. Parke Management Services, Inc. Findings of Fact, Conclusions of Law Jul 25 1997
Richard Tomitz Consent Order Jul 21 1997

Pages

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