2009 Press Releases

12/27/2009

Colorado Securities Commissioner Announces Settlement with Stifel Nicolaus in Auction Rate Securities Case

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 11/25/2009

CLARIFICATION OF NEWS RELEASE CONCERNING CREDIT SUISSE SECURITIES AUCTION RATE SECURITIES SETTLEMENT

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 11/24/2009

Colorado Securities Commissioner Agrees to Credit Suisse Securities (USA) LLC, Auction Rate Securities Settlement

11/19/2009

 Colorado Securities Commissioner Agrees to JPMorgan Chase & Co., Auction Rate Securities Settlement

11/17/2009

SECURITIES COMMISSIONER SANCTIONS TEXAS OIL AND GAS COMPANY NUECES VALLEY RESOURCES, INC AND GEORGE BURRELL

11/16/2009

SETHI OIL & GAS, INC. AND SAMEER P. SETHI SANCTIONED BY SECURITIES COMMISSIONER 

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 11/13/2009

GHP CAPITAL CORPORATION AND GEORGE JUST SANCTIONED BY SECURITIES COMMISSIONER

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11/10/2009

SECURITIES COMMISSIONER OBTAINS ASSET FREEZE OF Jerrald Green and Wealth Systems International, Ltd, Delgreene Credit Services, LLC, Delgreene Financial services, LLC, American Premium Financial, LLC, Delgreene Capital Management, LLC, and Wealth Administration Services, LLC., ORCHESTRATING A $12 MILLION INVESTMENT SCHEME

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10/19/2009

TEXAS OIL AND GAS COMPANY, Regal Energy, LLC, Brian Hardwick, and John Michael Peddecord, II, SANCTIONED BY SECURITIES COMMISSIONER

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10/1/2009

STIFEL, NICOLAUS & COMPANY CHARGED WITH FRAUDULENT SALES OF AUCTION RATE SECURITIES

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9/4/2009

 Colorado Regulators Lead Two National Regulatory Associations, Both Hosting Conferences in Denver Next Week

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9/3/2009

 Colorado Securities Commissioner Agrees to Auction Rate Securities Settlement With RBC Capital

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8/28/2009

 Former Stockbroker, Brian V. Prendergast, was sentenced to 6 Years for Securities Fraud and Theft

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8/24/2009

 Colorcom, Ltd, and IFR Technologies, Inc. doing business as Accelerated I/O Inc. and Joseph D. Doll and Richard H. Janoka CHARGED WITH SECURITIES LAW VIOLATIONS

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7/23/2009

Heartland Energy, Inc./HEI Resources, Inc. CHARGED WITH SECURITIES LAW VIOLATIONS

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7/16/2009

Colorado Securities Commissioner Agrees to Banc of America Auction Rate Securities Settlement

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6/25/2009

COSTA RICAN TREE GROWING COMPANY, Finca Leola SA, and Fred Morgan, SANCTIONED BY SECURITIES COMMISSIONER
 

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6/18/2009

Colorado Securities Commissioner Agrees to Merrill Lynch Auction Rate Securities Settlement

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6/4/2009

 The Department of Regulatory Agencies (DORA) is pleased to announce that its Colorado Securities Commissioner, Fred Joseph, who is also the president of the North American Securities Administrators Association, has been appointed to the Securities and Exchange Commission's Investor Advisory committee.

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5/29/2009

LAS VEGAS REAL ESTATE DEVELOPMENT COMPANY, Southwest Opportunity Partners, LLC, and the managing member and control person of Southwest Opportunity, Robert Davis, SANCTIONED BY SECURITIES COMMISSIONER

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5/29/2009

GRAND JUNCTION REAL ESTATE COMPANY, Valley Mortgage, Inc d/b/a Valley Investments, Inc. AND ITS OWNER, Phillip R. Lochmiller, CHARGED WITH SECURITIES LAW VIOLATIONS

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5/21/2009

 SECURITIES COMMISSIONER ORDERS CANADIAN REAL ESTATE COMPANY TO STOP SELLING SECURITIES IN COLORADO

Named in the Order are Belize Equities Holding, also known as Belize Equities, Inc., Walter International Inc., the president and CEO of Walter International, Ernie H.A. Walter, and Gerry D. Dyck, all of Winnipeg, Manitoba, Canada.
 

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5/6/2009

Wachovia Settles Multistate Enforcement Actions Involving the Marketing of Auction Rate Securities

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3/26/2009

NASAA President Proposes Expanded Role of State Securities Regulators in Testimony Before U.S. Senate Banking Committee

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3/24/2009

NASAA President and Colorado's Securities Commissioner to Offer Proposals to Bolster Financial Services Regulation in Testimony Before the U.S. Senate Banking Committee

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3/16/2009

SAN DIEGO REAL ESTATE COMPANY, Sovereign Capital Management, Inc. and Todd Anthony Mikles and James Hadzicki, SANCTIONED BY SECURITIES COMMISSIONER

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3/11/2009

Colorado to Receive $1.24 Million in Citigroup Settlement

 Citigroup Global Markets, Inc. Settles Multistate Enforcement Actions Involving Widespread Marketing of Auction Rate Securities as Cash Equivalents, Followed by the Collapse of the Auction Rate Securities Market in February, 2008.
 

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2/18/2009

TEXAS INTERNET COMPANY, Tier One Converged Networks, Inc., Kevin Weaver, and Pat Dunn, SANCTIONED BY SECURITIES COMMISSIONER

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2/13/2009

Kenneth A. Grant, Grant Communities and Yankee Investments, LLC. SANCTIONED BY SECURITIES COMMISSIONER

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1/6/2009

THE RESERVE FUND CHARGED WITH SECURITIES LAW VIOLATIONS

Denver, Colorado --- Colorado Securities Commissioner Fred J. Joseph announced today that he has filed a complaint in Denver District Court against a New York money market fund alleging that they have violated the anti-fraud provisions of the Colorado Securities Act in connection with the investment of public money by a Colorado local government investment pool trust fund.
 

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