News | Securities Department, North Dakota

An official website of the state of North Dakota. Here's how you know

The .gov means it's official.Official North Dakota websites will end in .gov. Before sharing sensitive information, make sure you're on a government site.

The site is secure.The https:// ensures that you're connecting to the official website and that any information you provide is encrypted and sent securely.

Government Benefit Services, Glen W. Finley, Jr. - Cease and Desist Order

Tuesday, July 5, 2005

Categories: Enforcement Actions

Schwartz Investment Management Company, James Schwartz - Consent Order

Friday, June 3, 2005

Categories: Enforcement Actions

Dale F. Roehrich - Notice of Civil Penalty

Friday, June 3, 2005

Categories: Enforcement Actions

Assemblies of God Loan Fund - Consent Agreement

Friday, May 20, 2005

Categories: Enforcement Actions

Integrity Mutual Funds, Inc. f/k/a ND Holdings, Inc., ND Capital Inc., Robert E. Walstad - Order to Vacate Notice of Civil Penalty

Thursday, May 5, 2005

Categories: Enforcement Actions

Piper Jaffray & Co., Terry Millner - Consent Order

Thursday, May 5, 2005

Categories: Enforcement Actions

Capital Growth Financial, LLC - Consent Order

Monday, April 4, 2005

Categories: Enforcement Actions

Integrity Mutual Funds, Inc. f/k/a ND Holdings, Inc., ND Capital, Inc., Robert E. Walstad - Undertaking

Wednesday, March 16, 2005

Categories: Enforcement Actions

Third Ridge Capital, LP, Third Ridge Capital Partners, LLC, Edward Neugeboren, Keith Barksdale - Agreement

Wednesday, February 23, 2005

Categories: Enforcement Actions

David A. Skjerven - Consent Order

Tuesday, February 15, 2005

Categories: Enforcement Actions

Subscribe to News View