Financial Compliance

Colorado Seeks Feedback on 2025 Sunset Reviews

The Colorado Office of Policy, Research and Regulatory Reform (COPRRR) is seeking public feedback on its 2025 sunset reviews for various state programs and advisory committees. The feedback period is open until May 31, 2025, to inform legislative decisions on whether to continue, modify, or terminate these programs.

Colorado 2025 Sunset Reviews Released

The Colorado Department of Regulatory Agencies (DORA) has released its 2025 sunset review reports for various state programs. These reviews, conducted by the Office of Policy, Research and Regulatory Reform (COPRRR), recommend the continuation of regulation for numerous professions and businesses, aiming to balance consumer protection with reduced regulatory burdens.

Colorado Funeral Home Licenses Relinquished

Davis Mortuary and Davis Crematory have permanently relinquished their Colorado funeral home and crematory licenses, effective October 17, 2025. This action has the same effect as a revocation, and the entities are barred from future licensure in Colorado.

Edward Jones Consent Order - Retail Minimum Commissions

The Massachusetts Securities Division has entered into a consent order with Edward Jones & Co., L.P. regarding unreasonable commissions charged on certain small principal equity transactions. Edward Jones will pay $11,287,504 nationwide for overcharging on approximately 781,240 transactions over a five-year period.

Massachusetts Securities Division Charges Nantasket Trading and David Markiewicz with Fraud

The Massachusetts Securities Division has filed an administrative complaint against Nantasket Trading, LLC, and David Markiewicz for alleged violations of the Massachusetts Uniform Securities Act. The respondents are accused of misrepresenting the purpose and use of investor funds and diverting them for personal use.

Massachusetts Securities Enforcement Action - Ideal Financial Services

The Massachusetts Securities Division has initiated an enforcement action against Ideal Financial Services. The action appears to involve allegations of fraud and the misappropriation of assets, with specific details to be outlined in the full document.

Massachusetts Securities Division Consent Order against John W. Sullivan

The Massachusetts Securities Division has issued a consent order against John W. Sullivan, Javelin Securities, LLC, and Ozone Capital Markets, LLC for violations of the Massachusetts Uniform Securities Act. The violations include failure to make proper disclosures, inadequate supervision of a barred individual, and improper record-keeping. The order settles the investigation with prejudice.

Massachusetts Securities Division v. Jose Encarnacion - Securities Fraud

The Massachusetts Securities Division has filed an administrative complaint against Jose Encarnacion and Trinity Estate Investments & Development LLC for alleged violations of the Massachusetts Uniform Securities Act. The complaint alleges fraudulent misrepresentation in the offering and sale of unregistered securities, primarily targeting immigrant communities.

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.