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.


Enforcement Actions

2020-2021: Recent Enforcement News

Archived Enforcement Actions

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

Colorado Municipal Bond Supervision Advisory Board

Public Notices

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About the Division

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Investor Education Information

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Open Embed


March 24, 2021
Denver (CO) – March 24, 2021 —The Colorado Division of Securities (the “Division”) is partnering with the Investor Protection Trust, Detroit Public Television, and PBS Books to produce “The COVID Effect: Restoring Financial Wellness” virtual event to live stream on the Division’s Facebook page, (, on Friday, March 26, 2021. at 11:00 a.m. MST.
March 16, 2021
DENVER - March 15, 2021 —The Colorado Division of Securities (the “Division”), other state regulators, and the Commodity Futures Trading Commission (CFTC) recently filed a joint civil enforcement action against, Tower Equity, Chase Metals, Barrick Capital and other associated parties. The defendants are accused of perpetrating a fraudulent precious metals investment scheme allegedly…
March 4, 2021
DENVER - March 04, 2021 — In recognition of National Consumer Protection Week, the Colorado Division of Securities (the “Division”) announces the top investor threats for 2021 as anticipated by state regulators across the country and regulators in Mexico and Canada.