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

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May 17, 2022
Denver (CO) – May 17, 2022 – Court Freezes Assets and Appoints Receiver in Elaborate Securities Scheme Run by Westminster Man
March 23, 2022
Denver (CO) – March 23, 2022– The Colorado Division of Securities (the “Division”) recently published an “Ongoing Financial Planning Guide” to assist investment advisers offering ongoing financial planning services.
January 11, 2022
Denver (CO) – January 11, 2021 – The Colorado Division of Securities (“Division”) released its 2022 investment adviser examination priorities.