Colorado Securities and Investment Fraud Attorneys

The Colorado securities and investment fraud attorneys at Gana Weinstein LLP represent Colorado investors in securities arbitrations through the Financial Industry Regulatory Authority or FINRA. Our Colorado securities attorneys represent investors throughout the state of Colorado. While most hearings occur in Denver, we represent investors in Denver, Colorado Springs, Aurora, Fort Collins, Lakewood, Thornton, Arvada, Westminster, Pueblo and Boulder.

Generally, many claims brought by investors relate to securities fraud. Securities fraud describes many forms of improper investment activity. Securities fraud can describe the sale of a security by false representations concerning the properties of the security. It can also describe schemes to unfairly charge high commissions, theft or misplacement of funds, or trading that is not authorized by the investor. Our Colorado securities arbitration attorneys handle cases related to churning (excessively trading accounts for the purposes of generating commissions), the unsuitable sale of securities (violation of the suitability rule), a broker-dealer’s failure to supervise, unauthorized trading, broker theft, and violation of the FINRA rules.

Unfortunately, by the time clients retain our law firm their accounts have suffered severe financial losses. Many clients do not know what happened to their investments or how their broker recommended them to invest in the first place.

In the State of Colorado, investors are protected not only by legislative laws and statutes, but also by industry rules that prohibit brokers from engaging in fraud, unsuitable sales, churning, breach of fiduciary duty, failure to supervise, unauthorized trading, or negligence. Below are useful links and resources covering some of the investor protections available in the State of Colorado:

• Division of Securities enforces Colorado securities law through audits, investigations and enforcement actions. Enforcement actions carried out by state securities regulators play an instrumental role in protecting investor. Specifically, the Division of Securities exists to protect investors and maintain confidence in the securities markets as a whole. The Colorado Securities Division attempts to avoid unreasonable burdens in the marketplace while enforcing the securities laws and any violations and helping Colorado residents become informed investors.
• Consumer Protection Department protects consumers and businesses owners against fraud and maintains a competitive business environment.
• Colorado Securities Act sections 11-51-101 through 908 provide investors protection for the offer, sale and purchase of securities within the financial market. Specifically, the Colorado Securities Act states that no person or entity may offer to sell, purchase, or exchange a security by means of material misstatement or omission of material information, if that information will directly cause a loss to an investor. A violation of the Colorado Securities Act carries steep penalties including compensating the investor for his or her loss, interest and attorneys’ fees.
• FINRA is an independent regulatory agency that regulates all broker-dealers in the United States. FINRA, in conjunction with the Securities and Exchange Commission (SEC) also creates and enforces the securities laws.

While regulatory agencies investigate and enforce federal and statewide rules and regulations, even successful prosecutions often fail to make investors whole. A recent study of 75 Securities and Exchange Commission (SEC) cases revealed that the SEC distributed only a paltry 13% of the funds obtained from civil fines and restitution back to investors. The only way to ensure that someone is working for you to recover your losses is to engage an attorney familiar with the securities laws. These statistics are important because they show that investors should not rely entirely on regulators in attempting to get compensation for the fraudulent conduct of their brokers. Attorneys that specialize in securities fraud can help victims recover their money.

To learn more about securities topics and potential claims please visit our Securities Arbitration page. Gana Weinstein LLP represents investors in all major Colorado cities including in areas such as Castle Pines, Cherry Hills Village, Lone Tree, Wellington Superior, Eagle, Castle Rock, Parker, Greenwood Village, Colorado Springs and Milliken. Our consultations are free of charge and the firm is only compensated if you recover. Our Colorado securities attorneys can help you.

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