Enforcement Actions | Securities Department, North Dakota

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Recent News

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

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For Assistance Contact:

Rachel E. Rice, Supervisor of Investigations & Examinations, Email Rachel

Phone: (701) 352-4592