Press Release

March 15, 2023 -- The Colorado Division of Securities will host a booth at the Colorado Older Adult Financial Justice Symposium on March 15th, 2023 from 8:30 am- 4:00 pm at the Knoebel Institute for Healthy Aging at the University of Denver. The Division will be in-person to provide educational resources, as well as information about the ways the Division investigates securities fraud and refers cases for prosecution. We hope you will stop by if you are at the event.

February 14, 2023 -- The Colorado Division of Securities (the “Division”) would like to provide notice that on February 1, 2023, the Securities Commissioner adopted new and amended rules under the Colorado Securities Act.  Regulations that have been adopted, but are not yet effective, can be found on the Division's website at Rule Making Notices and Opinions.

February 15, 2023 -- With the chocolate-scented haze of Valentine’s Day over, it’s a good time to rethink those online romances.  The Colorado Division of Securities is alerting the public about online romance scams that are sweeping the country.  These romance scams are rapidly becoming more popular in the U.S. with an estimated $429 million in losses in 2021.

January 31, 2023 -- The Colorado Division of Securities (the “Division”) released its 2023 investment adviser examination priorities. Publication of the priorities should help advisory firms comply with newly adopted rules and focus attention on common deficiencies when reviewing their compliance programs or preparing for examinations. Examinations serve to protect investors by ensuring that advisers are following the Colorado laws and rules that govern them.

CU Boulder Today - Next time you drive along I-70 near Idaho Springs, you’ll see an eye-catching billboard encouraging smart investing. That’s due to a new collaboration between the Colorado Division of Securities and students in the College of Media, Communication and Information.

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).

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.

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.

Denver (CO) – October 7, 2022 – Colorado Division of Securities Warns of Romance Scams on the Rise

Denver (CO) – May 17, 2022 – Court Freezes Assets and Appoints Receiver in Elaborate Securities Scheme Run by Westminster Man