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Piper Jaffray & Co., Brady Vollmers - Order for and Notice of Civil Penalty

Friday, January 13, 2012

Categories: Enforcement Actions

Associated Financial Services, Inc. - Order to Revoke the Dealer Registration

Thursday, January 12, 2012

Categories: Enforcement Actions

RESOLVE TO CHECK BEFORE YOU INVEST IN 2012

Tuesday, January 3, 2012

Ronald Dean Bennett d/b/a Ron Bennett Commercial Real Estate - Cease and Desist Order

Wednesday, December 21, 2011

Categories: Enforcement Actions

SECURITIES COMMISSIONER ISSUES CEASE AND DESIST ORDER

Friday, December 16, 2011

Brent Kitzan d/b/a Kitzan & Associates - Cease and Desist Order

Wednesday, December 14, 2011

Categories: Enforcement Actions

Associated Financial Services, Inc. - Order for Summary Suspension of the Dealer Registration

Tuesday, December 6, 2011

Categories: Enforcement Actions

R. Seelaus & Co. Inc. - Consent Order

Friday, November 25, 2011

Categories: Enforcement Actions

Ross Owen Haugen - Plea Agreement

Monday, November 14, 2011

Categories: Enforcement Actions

ND SECURITIES BRINGS "MAD ABOUT MONEY" TO SCHOOLS

Monday, October 17, 2011

Bismarck, ND - Robert H. Medhus, a former securities broker, has been criminally charged with securities fraud, the sale of unregistered securities, and theft of property.

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