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North Dakota Joins $106M Multi-State Settlement with Vanguard over Big Tax Bills, Remediation to Investors

Friday, February 21, 2025

Categories: Enforcement Actions

Consent Order: Edward D. Jones & Co., L.P.

Monday, January 13, 2025

Categories: Enforcement Actions

Administrative Consent Order

North Dakota Joins $17 Million Multi-State Enforcement Settlement with Edward Jones

Monday, January 13, 2025

Categories: Enforcement Actions

Consent Order: Ireland & Sando, LLC, and Michael J. Rydell

Tuesday, March 12, 2024

Categories: Enforcement Actions

Administrative Consent Order

Consent Order: Jamieson Capital Financial, LLC, and Jeremy L. Carlson

Friday, January 12, 2024

Categories: Enforcement Actions

Administrative Consent Order

Cease and Desist Order: Taylor Orris Bang

Friday, December 15, 2023

Categories: Enforcement Actions

Cease and Desist Order, Order for Civil Penalty, and Notice of Right to Request a Hearing

Securities Commissioner orders Taylor Orris Bang to cease and desist from acting as an unregistered securities agent and selling unregistered securities in alleged $190 million Ponzi scheme

Friday, December 15, 2023

Categories: Enforcement Actions

Consent Order: ICON Investment Group, LLC, Leftfield Development, LLC, National Sports Opportunity Partners LLC, and Michael R. Kuntz

Tuesday, December 5, 2023

Categories: Enforcement Actions

Raymond James & Associates Inc., and Raymond James Financial Services Inc. - Consent Order

Friday, October 20, 2023

Categories: Enforcement Actions

Order: Ireland & Sando LLC, and Michael J. Rydell

Thursday, July 27, 2023

Categories: Enforcement Actions

Cease and Desist Order, Notice of and Order for Civil Penalties, Order for Rescission, and Notice of Right to Request a Hearing

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