Investor Education Resources
The Division of Securities seeks to educate Coloradans to be smart investors, financially literate, and to identify and report potential investment fraud. This section of our website provides resources to specific types of investors including seniors, military families, those victimized by affinity fraud, students, and general financial literacy. We provide education through press releases, consumer alerts, presentations, webinars, workshops, events, and publication materials. Please feel free to contact the Division if you would like to request any additional resources or a presentation.
Press Releases, Articles, and Alerts
January 21, 2025 -- Colorado Securities Commissioner Tung Chan, a member of the North American Securities Administrators Association (NASAA), has joined a $17 million settlement with Edward D. Jones & Co., L.P. (Edward Jones).
January 17, 2025 -- Colorado Securities Commissioner Tung Chan today announced that Colorado joined a taskforce of state securities regulators and the United States Securities and Exchange Commission (SEC) in a $106 million settlement with Vanguard Marketing Corporation (VMC) and The Vanguard Group, Inc. (Vanguard).
Press Release: Permanent Injunction Entered Against Denver Man for Alleged Romance Investment Scheme
December 17, 2024 -- Colorado Securities Commissioner Tung Chan and Joseph G. Holder Jr. of Denver, aka JR Holder, agreed to a stipulated entry of permanent injunction related to allegations of a romance scam to defraud women.