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Colorado Attorney General

Phil Weiser

Colorado Attorney General

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Securities Fraud

What is securities or investment fraud?

Securities fraud, also referred to as investment fraud, is a white-collar crime that can be committed in a variety forms but primarily involves misrepresenting information investors use to make decisions. The perpetrator of the fraud can be an individual, such as a stockbroker. Or, it can be an organization, such as a brokerage firm, corporation, or investment bank. Independent individuals might also commit this type of fraud through schemes such as insider trading. Securities or Investment Fraud can also include the unlawful misappropriate of funds by investment advisers or other securities professionals and their employees.

The role of the criminal prosecution unit at the Attorney General is to solely evaluate, and when appropriate prosecute, criminal conduct that has a connection to the state of Colorado. The unit does not have the ability to initiate civil actions or take action against the licenses of securities professionals.

Examples include:

  • Ponzi schemes, pyramid schemes, and late-day trading.
  • False information, pump-and-dump schemes, or trading on insider information.
  • Unlawful misappropriate of funds by investment advisers or other securities professionals and their employees.

Licensing and Regulation:

The Colorado Division of Securities located in the Colorado Department of Regulatory Affairs is responsible for licensing and regulating the conduct of certain licensed professionals in the securities industry including investment advisers who do business within the state of Colorado.

Tips on submitting a complaint

The more information you can provide about the situation, the more useful your report will be. If possible, be prepared to provide the following information:

What is your issue about?

Be clear and concise. Briefly describe your issue and what steps you have taken to resolve it. Be sure to include all relevant dates and other details about your experience, including the amount of money lost (if any) and communications you have had with the alleged suspect, witnesses, and involved insurance company or companies.

Information about the situation/suspect(s)

If available, please be prepared to provide information on the situation you are reporting about, such as suspect name, address, phone number, website, email address, and any other identifying information.

Your contact information

Please be prepared to provide your contact information, such as your name, address, phone number, and your email address.

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Important Notice

The Attorney General’s Office does not have authority to provide legal advice or legal representation to individuals and does not have the authority to investigate or prosecute your individual case.

Criminal Justice

The Criminal Justice Section investigates and prosecutes on a statewide basis a broad array of matters including but not limited to: securities fraud, insurance fraud, Medicaid fraud, environmental violations, human trafficking, drug trafficking homicides, and multi-jurisdictional organized crime.

This work is accomplished either under the original jurisdiction of the Attorney General’s Office, or in partnership with and at the request of state and federal prosecutors and law enforcement.  Click here to learn more.

Additional Resources

StopFraudColoradoNeed more information?  Please visit our Insurance Fraud Center where we have compiled information about various topics. Please note you will be routed to the Colorado Attorney General’s Consumer Fraud initiative, StopFraudColorado.gov

  • Investment Fraud Center
  • Investor.gov
  • Colorado Division of Securities
  • Check your Broker: FINRA.org

 

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Office of the Attorney General
Colorado Department of Law
Ralph L. Carr Judicial Building
1300 Broadway, 10th Floor
Denver, CO 80203

(720) 508-6000

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