News

North Dakota Securities Commissioner, Karen Tyler, today issued an advisory reminding investors to be cautious when considering investing in three products recently making news: marijuana-related investments, binary options and digital currency. The advisory is on the North Dakota Securities Department’s website at www.nd.gov/securities.

North Dakota Securities Commissioner Karen Tyler has ordered Paul De Bastos and North Dakota Bakken Connection LLC (NDBC) to Cease and Desist from selling unregistered securities, acting as an unregistered broker-dealer or agent, and engaging in fraudulent practices in connection with the offer and sale of securities.

The SEC’s Office of Investor Education and Advocacy is issuing this bulletin to educate investors about investing in non-traded REITs

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to provide investors with important steps to take regarding their investment accounts if they become victims of identity theft or a data breach.

Report Indicates Seniors Remain a Top Target for Cons

Savvy consumers know it is important to compare prices on similar products to get the best value for their money. Wouldn’t it be nice if the same were true when shopping for a broker-dealer firm to know which is best for you. 

The SEC’s Office of Investor Education and Advocacy and the CFPB’s Office for Older Americans are issuing this bulletin to help investors and consumers understand the potential impact of diminished capacity on their ability to make financial decisions and to encourage investors and consumers to plan for possible diminished financial capacity well before it happens.