(Originally published December 1, 2015) By Paul L. Vorndran As a cautionary tale, Colorado licensed investment advisers should be mindful that non-securities transactions with their clients will be scrutinized by the Colorado Divisions of Securities. In December 2013, Secure Retirement Group, Inc. doing business as Secure Financial Group, Inc. and its principal, David L. Gonzales,… Read more »
(Originally published December 1, 2015) by Paul Vorndran Denver District Court recently determined that oil and gas joint venture interests promoted by Colorado companies HEI Resources, Inc. and Heartland Energy Development Corporation were not securities under the Colorado Securities Act. On October 17, 2013 following an intensely contested case brought by the Colorado Securities Commissioner,… Read more »
(Originally published March 17, 2016) by Paul L. Vorndran The Colorado Court of Appeals reversed a criminal conviction for securities fraud pursuant to C.R.S. § 11-51-501(1)(b) finding the trial court erred in refusing to give a proffered instruction that not all promissory notes are securities for purposes of the Colorado Securities Act (CSA). In People v. Mendenhall,… Read more »
Reid A. Godbolt named Denver Best Lawyers Securities Regulation “Lawyer of the Year” for 2018.
TAX TRAPS FOR THE UNWARY – EXECUTIVE COMPENSATION ISSUES IN M&A TRANSACTIONS (PART I: SECTION 280G) By Charles E. Wern, JD, LLM and D. Laird Blue, JD, LLM, Shareholders, Jones & Keller, PC Changes to the U.S. regulatory landscape and corporate tax law structure could spark increased M&A deal activity and strategic partnering in the banking… Read more »
by Paul Vorndran Third-party asset recovery companies advertise directly to investors known to be victims of investment fraud. A third-party asset recovery company gathers information regarding scams after they have become public, and targets the investors of those scams offering recovery services. According to the North American Securities Administrators Association (NASAA), these firms employ high… Read more »
President of Jones & Keller and well-known securities attorney, Brad H. Hamilton, was quoted by Independent Banker in an article by Karen Epper Hoffman on the need for community banks to understand cybersecurity issues; how to provide cybersecurity direction at board meetings and executive events; learning to present online security issues in basic terms; introducing… Read more »
We are pleased to announce our women attorneys at Jones & Keller were covered in the April 27th edition of the Denver Business Journal, Women in Law. Congratulations to our attorneys, and thank you to the Denver Business Journal for focusing our attention to the important role they possess in our community.