Jamieson Capital Financial of Fargo Ordered To Stop Doing Business
FARGO, N.D. (KVRR) — Jamieson Capital Financial of Fargo has been ordered to stop doing business in the state by North Dakota Securities Commissioner Karen Tyler.
She says Jeremy L. Carlson is not currently registered as a securities professional in any capacity in the state.
Tyler has ordered the immediate suspension of the firm’s registration.
There are numerous allegations of violations of securities laws, including taking custody of investor funds, acting as an unregistered broker-dealer and agent and unlawful conduct of an investment adviser.
Carlson is accused of taking custody of over $17 million in client funds, which is prohibited under the North Dakota Securities Act.
View official orders here: