Colorado Securities Fraud Attorney

Gana LLP represents Colorado investors in securities related litigation. 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.

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.
  • 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.
  • 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.

To learn more about securities topics and potential claims please visit our Securities Arbitration & Litigation page. Gana LLP represents investors in all major Colorado cities including Denver, Colorado Springs, Aurora, Fort Collins, Lakewood, Thornton, Arvada, Westminster, Pueblo and Boulder. Our consultations are free of charge and the firm is only compensated if you recover.