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.
North Dakota Joins $106M Multi-State Settlement with Vanguard over Big Tax Bills, Remediation to Investors
Friday, February 21, 2025
Categories: Enforcement ActionsNorth Dakota Joins $17 Million Multi-State Enforcement Settlement with Edward Jones
Monday, January 13, 2025
Categories: Enforcement ActionsConsent Order: Edward D. Jones & Co., L.P.
Monday, January 13, 2025
Categories: Enforcement ActionsAdministrative Consent Order
Consent Order: Ireland & Sando, LLC, and Michael J. Rydell
Tuesday, March 12, 2024
Categories: Enforcement ActionsAdministrative Consent Order
Consent Order: Jamieson Capital Financial, LLC, and Jeremy L. Carlson
Friday, January 12, 2024
Categories: Enforcement ActionsAdministrative Consent Order