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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
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 descending
Reach Exploration, Inc., Warren Wellborn, Paul Webb, David Dolph Cease and Desist Order Nov 20 1991
Equity Estates Galleries, Inc., Alex Pierce Cease and Desist Order Nov 20 1991
Trans-Global Trading Incorporated, Robert Bowin, Peter Greenwood Cease and Desist Order Dec 4 1991
1st Equity International, Richard Gould Cease and Desist Order Apr 14 1992
Express Communications, Inc., Reliable Cellular Consultants Cease and Desist Order Apr 14 1992
Worldwide Treasure Bureau, Samuel E. Cox Cease and Desist Order Apr 14 1992
Charles Edward Marean, Junior Cease and Desist Order May 19 1992
Leo Elroy Sjolseth Cease and Desist Order May 27 1992
Leo Elroy Sjolseth May 27 1992
Doug Nassif Cease and Desist Order Jun 1 1992
Doug Nassif Jun 1 1992
Banner Fund International, Swiss Trade & Commerce Trust Cease and Desist Order Mar 4 1993
Health Excellence, T. C. Fry Cease and Desist Order Mar 15 1993
Kiowa Resources Inc., Robert Charles Cease and Desist Order May 19 1993
Smart Industries, Inc., Life Crystals, Inc., Elliot Pierce Cease and Desist Order Jul 6 1993

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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