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: NASD, SEC and Regulatory Defense Blog

Colorado Division of Securities Cease and Desist Proceedings

By Michael MacPhail, Esq.

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            The economic crisis has exposed an unprecedented number of securities frauds around the country.  Consistent with national trends, the Colorado Division of Securities has reported a sharp increase in the number of securities fraud investigations and cases in 2009.   Administrative cease and desist proceedings are an important weapon in the Division?s arsenal.                      Cease and desist proceedings, authorized under 11-51-606(1.5), C.R.S., provide the Division with an expedited means of obtaining prophylactic relief on an expedited basis...continue to full post

Full post as published by NASD, SEC and Regulatory Defense Blog on June 07, 2009 (boomark / email).

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