Securities Home


Welcome to the Colorado Division of Securities

The Division of Securities exists to protect investors and maintain confidence in the securities market, while avoiding unreasonable burdens on the marketplace by licensing securities professionals, enforcing securities law violations, and helping Coloradans become more informed investors.

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Enforcement Actions

2020-2021: Recent Enforcement News

Archived Enforcement Actions

Alerts, Press Releases, and Articles

2022-2023: Alerts, Press Releases, and Articles

2020-2021: Alerts, Press Releases, and Articles

Archived: Alerts, Press Releases, and Articles

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Colorado Securities Board

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November 17, 2022
DENVER—Geoffrey Wescott James was sentenced on Monday by the Honorable Denver District Court Judge Jennifer Torrington to a 12-year prison sentence and to pay more than $5,000,000 in restitution after pleading guilty in September to violating Colorado’s Organized Crime Control Act (F2) and to theft (F3).
November 16, 2022
The Colorado Division of Securities (the “Division”) recently published a revised “Ongoing Financial Planning Guide.” This revised Guide includes updates and clarifications to the original version published in March 2022.
November 1, 2022
Denver (CO) – November 1, 2022 – The Colorado Division of Securities will be adjusting licensing fees to keep the Division in compliance with statutory requirements to maintain sufficient revenue.