Investigations

The enforcement section at the Division of Securities is responsible for fielding all complaints against Colorado securities industry businesses or individuals, initiating and carrying out investigations, and assisting with any resulting administrative, civil or criminal actions. Investigators cannot and do not give financial advice or represent individuals in a court of law. 

Enforcement Actions

Access archive of all administrative, civil, and criminal enforcement actions.

File a Complaint

File a report of unlicensed, unregistered, suspicious or fraudulent investment practices.