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State sanctions publishing company and owner for securities violations

A Colorado publishing company and its owner have been sanctioned by the state’s Securities Commission. Katana Financial Group and Adam Dennis Paplow, both of Littleton, are accused of allegedly violating the securities registration and anti-fraud provisions of the Colorado Securities act, said Commissioner Fred Joseph. The staff of the Colorado Division of Securities said that… Continue Reading State sanctions publishing company and owner for securities violations

The state has revoked the license of a Texas-based securities brokerage firm, according to the Colorado Banking and Securities Commission. O&G Securities was sanctioned as a result of a state investigation that alleged the company was illegally offering unregistered securities to Colorado investors. One of its principals, Mary Martha Simpson, also had her license revoked.… Continue Reading State revokes license of Texas securities company

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A Colorado medical marijuana company and its owner have received a final cease and desist order from the Colorado Division of Securities. Colorado Wellness Providers and Charles E. Perry, both of Fort Collins, were named in the order, which alleges Perry sought to raise capital from investors for the medical marijuana industry and advertised on… Continue Reading Medical marijuana company issued cease order from Securities Division

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A settlement has been reached between Morgan Stanley & Co. and the Colorado Division of Securities. Morgan Stanley has agreed to buy back more than $127 million worth of auction rate securities from Colorado investors. State securities regulators investigated the company after allegations that Morgan Stanley’s salespeople had advised certain clients that auction rate securities were… Continue Reading Colo. securities division reaches settlement with Morgan Stanley

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Colorado Securities Commissioner Fred Joseph has entered a final cease and desist order against The iPractice Group Inc. and its CEO Ting N. Chang; chief operating officer, Michael Jason Morgan, and one of its sales agents, Colin Purcell. All are from Nashville, Tenn. Continue Reading Securities Commissioner hits health tech co. with cease and desist

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A California real estate company was charged with a cease-and-desist order by the Colorado Division of Securities. Advantage Property Ventures and two of its managers, Shawn Wikoff and Paul Petonak, both of Sherman Oaks, Calif., were named in the order. The securities division says the real estate company called Colorado investors, offering housing units priced… Continue Reading Real estate company sanctioned by security division

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Denver man barred from selling stock

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The Colorado Division of Securities entered a cease and desist order against a Denver man for violating the securities registration provision of the Colorado Securities Act. Brian T. Waring, New Equity Now and Proper Investments, all of Denver, were named in the order, said Commissioner Fred Joseph. The order alleges that Waring sought Colorado investors… Continue Reading Denver man barred from selling stock

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The Colorado Division of Securities filed charges against E*Trade Securities, alleging that the New York-based broker falsely represented auction rate securities. The false representations that the securities were liquid, short-term investments gave Colorado investors a “false sense of security,” said Commissioner Fred Joseph. In the complaint, the division alleges that E*Trade violated the Colorado Securities… Continue Reading Securities division files suit against E*Trade

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The Colorado Division of Securities recently settled its ninth auction rate securities case since the recession hit in 2008. The latest settlement is with UBS Securities LLC and UBS Financial Services Inc. UBS agreed to buy back in excess of $456 million worth of auction rate securities from retail Colorado investors who found themselves unable… Continue Reading Securities division settles ninth auction rate case

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The Colorado Division of Securities has revoked a Greeley stockbroker’s license for allegedly violating the securities registration provisions of the Colorado Securities Act. John B. Guyette is alleged to have offered and sold securities in the form of notes by Medical Provider Funding Crop., a wholly owned subsidiary of Medical Capital Holdings, a medical receivables… Continue Reading Securities division revokes broker’s license

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