About the Enforcement Section

#FFFFFF

About the Enforcement Section 

The Division’s enforcement section conducts investigations into possible violations of the Colorado Securities Act and Rules and the Colorado Commodity Code.  Investigations generally focus on companies and individuals offering or selling securities and those providing financial guidance or advice, with a particular focus on senior exploitation and fraud.  Appropriate cases are referred to the Colorado Attorney General for civil or administrative actions or to federal, state, or local prosecutors for criminal proceedings.