CO Securities Sitemap

Building Financial Capability Through Investor Education

The Colorado Division of Securities issued a consumer alert for Financial Capability Month promoting investor education resources including Investing 101, Smart Investor Checklist, and guidance on working with financial professionals. The alert references FTC data showing U.S. consumers lost $7.9 billion to investment fraud in 2025 and provides links to resources for spotting red flags of investment fraud.

Investment Advisers: Annual Updating Amendment Filing Reminder

The Colorado Division of Securities is reminding state-licensed investment advisers that their Annual Updating Amendment (AUA) filing is due March 31, 2026. This notice also highlights a new NASAA IAR CE course catalog and details recent enforcement actions against Mullins Investment Management and Marshall Financial Advisory.

Northern Colorado Woman Convicted of Securities Fraud

A Northern Colorado woman, Ann Vick, has been convicted on eight counts of securities fraud following a trial. She defrauded approximately 25 investors out of $3,000,000 through a fraudulent options trading and promissory note scheme. Sentencing is scheduled for May 21, 2026.

Colorado Securities Division Launches New IAR CE Course Catalog

The Colorado Division of Securities has announced a new online public course catalog for investment adviser representatives (IARs) to find approved continuing education (CE) courses. This catalog, launched by NASAA, centralizes course offerings and allows filtering by various criteria to help IARs meet their annual CE requirements.

Colorado Warns of Online Investment Scams During Consumer Protection Week

The Colorado Division of Securities issued a warning about online investment scams during National Consumer Protection Week. The notice highlights common schemes like unsolicited cryptocurrency fraud and romance scams, referencing FTC data on significant financial losses to these activities.

Colorado Securities Board Composition and Duties

The Colorado Securities Board has updated its public notice regarding the composition, duties, and current members of the Securities Board. The notice outlines the required qualifications for board members, their advisory role to the Securities Commissioner, and lists the current appointees with their professional backgrounds.

Colorado Securities Act, Municipal Bond Supervision Act, Commodity Code

This document provides links to various Colorado statutes and rules related to securities, municipal bonds, and commodities. It includes the Colorado Securities Act, the Municipal Bond Supervision Act, and the Colorado Commodity Code, along with their respective regulations. The page also links to federal SEC laws and information on protecting vulnerable adults from financial exploitation.

Eric Gemelli Barred from Securities Sales in Colorado for 10 Years

The Colorado Securities Commissioner has barred Eric Gemelli and his company, Market4Caster, LLC, from selling securities in Colorado for 10 years. Gemelli admitted to unlicensed sales of over $3 million in unregistered securities, violating the Colorado Securities Act.

Colorado Adopts Rules Extending Licensing Exam Validity

The Colorado Division of Securities has adopted new rules extending the validity of licensing exams for sales representatives and investment adviser representatives (IARs) up to five years. These rules, effective January 14, 2026, incorporate FINRA's MQP and NASAA's EVEP, allowing individuals to maintain qualifications by meeting specific criteria and completing annual continuing education.

Colorado Division of Securities Enforcement Actions

The Colorado Division of Securities has published a list of its recent enforcement actions. These actions are taken against individuals and entities violating securities laws and regulations within the state. The list provides access to specific case details and outcomes.