nd.gov - The Official Portal for North Dakota State Government
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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

Investor Alerts

North Dakota Securities Department Investor Alerts

The North Dakota Securities Department provides a variety of educational resources to educate and address problems you may face as an investor. Our Investor Alerts focus on recent investment frauds and scams and issued for your protection.   Additional alerts and bulletins are provided on the U.S. Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) websites identified below as a service to investors.  

If you have any questions concerning a particular alert, please contact the North Dakota Securities Department.

Nov 26 2014 Third-Party Custodians of Self-Directed IRAs and Other Qualified

This advisory issued is help investors separate fact from fiction regarding the responsibilities of third-party custodians of self-directed individual retirement accounts (IRAs) and other qualified plans. 


The advisory includes tips to help investors recognize a high-yield investment program and offers steps investors should take to protect themselves from these scams.

Jun 11 2014 Virtual Currency: It pays to know what’s in your e-Wallet

This advisory is to make investors aware about the potential risks of investments involving Bitcoin and other forms of virtual currency.

Sep 01 2013 Making Sense of Financial Professional Titles

This advisory is issued to help investors better understand the titles used by financial professionals.

Jun 01 2013 Informed Investor Advisory: Energy Investments

Energy Investments carry unique risks and are not appropriate for all investors.  Learn how to protect yourself from con-criminals who exploit the latest headlines to push energy investment fraud.

Apr 24 2013 Financial Professionals Advisory: It pays to understand the different roles of financial professionals

This advisory provides basic information on three types of financial services professionals and their obligations to you as a client: broker-dealer agents, investment adviser representatives, and financial planners.

Mar 07 2013 Are you an informed investor? Crowdfunding

Previously a donation based funding tool for small businesses, Congress has now created an investment based option.  Learn the risks of crowdfunding for both businesses and investors.

Mar 07 2013 Are you an informed investor? Exchange Traded Funds - ETFs

This advisory is issued to inform the investor of ETFs, associated risks and suitability for their investment portfolio.

Mar 07 2013 Are you an informed investor? GOLD!

This advisory is issued to alert investors about investment scams that promote the latest "hot" gold stock and to provide information on how to invest wisely in gold.

Mar 07 2013 Are you an informed investor? Social Networking

This advisory is issued to help investors be better aware of fraudulent investment schemes that may involve social media.