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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

AMS Holdings LLC, and Bradley J. Stroup

Wednesday, July 19, 2023

Categories: Enforcement Actions

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

Securities Commissioner orders Bradley J. Stroup and AMS Holdings to cease and desist from the sale of unregistered securities

Wednesday, July 19, 2023

Categories: Enforcement Actions

Robinhood Financial LLC

Wednesday, July 12, 2023

Categories: Enforcement Actions

Administrative Consent Order

North Dakota Securities Department Joins Multiple States in $10 Million Settlement with Robinhood for Failing Investors

Wednesday, July 12, 2023

Categories: Enforcement Actions

Agridime LLC, a Texas limited liability company, and Joshua Link

Thursday, May 25, 2023

Categories: Enforcement Actions

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

Cattle Company Ordered to Stop Selling Unregistered Securities

Thursday, May 25, 2023

Categories: Enforcement Actions

National Sports Opportunity Partners LLC, a/k/a the trade name, National Sports Opportunity, LLC, Michael R. Kuntz, Jamieson Capital Financial LLC, and Jeremy L. Carlson

Monday, April 24, 2023

Categories: Enforcement Actions

Findings of Fact, Conclusions of Law, Cease and Desist Order, Notice of and Order for Rescission, Notice of and Order for Civil Penalties, Notice of Reservation of Commissioner's Authority to Amend Order, and Notice of Right to Request a Hearing

Securities Commissioner orders Michael Kuntz, National Sports Opportunity Partners, Jeremy L. Carlson, and Jamieson Capital Financial to cease and desist from sale of over $25 million in unregistered securities and misappropriation of investor funds

Monday, April 24, 2023

Categories: Enforcement Actions

Final Order: Bio-Sunn Technologies, Inc., Lewis Bauer, Equity Fund International (EFI), Inc., and Christopher Williams

Thursday, February 9, 2023

Categories: Enforcement Actions

Findings of Fact, Conclusions of Law, and Final Order

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