Investment Advisory Services
Jamieson Capital Financial, LlcFind BBB Accredited Businesses in Investment Advisory Services.
Information and Alerts
Alert Details
This business has 1 alert.
Government Actions
North Dakota Securities Department- Consent Order
On January 10, 2024 the business entered into a Consent Order with the North Dakota Securities Department. The Consent Order settles allegations that the business and its owner, Jeremy Carlson, violated North Dakota Century Code (N.D.C.C) and admitted they violated the custody prohibition under N.D.C.C. § 10-04-10.1(6); acted as an unregistered broker-dealer in violation of N.D.C.C. § 10-04- 10 and as an unregistered agent on behalf of the Private Funds in violation of N.D.C.C. § 10-04-10(2); provided misstatements in Form D Filings made under Regulation D, 506(b), 17 CFR § 230.506(b); and charged and accepted commissions on securities transactions in violation of N.D.C.C. § 10-04-08.4(2)(b). The business also admitted they offered the Sale of Unregistered Securities in violation of N.D.C.C. § 10- 04-04.
Under terms of the Consent Order, the business agreed to immediate revocation of the investment adviser registration of Mr. Carlson and to not seek future registration, include as a broker-dealer, agent, investment adviser or investment adviser representative. Mr. Carlson agreed to make reasonable efforts to repay all members of the private funds who request repayment of their invested amount as identified in the settlement agreement, and to repay all commissions; with credit against repayment obligations for all repayments made to investors from other sources, such as National Sports Opportunity Partners LLC, the North Dakota investor restitution fund. The Order assesses $1,000,000.00 in civil penalties, suspended for 24 months and to be reduced by the amount of payments to investors made under the terms of the Order.
The Consent Order was for settlement purposes only and should not be considered as an admission of guilt or finding of violation of the law. For more details go to the below link.
Important Information
Believed to be out of business
According to information in BBB files, it appears that this business is no longer in business.
Service Area
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