Link to home page for the Kansas Office of the Securities Commissioner
Administrative and Criminal Proceedings
Proceedings are listed by date and respondent name. Click on the desired link below to access the complete list, then follow the respondent link to access a brief synopsis of each case.

2009 Proceedings
2008 Proceedings
2007 Proceedings
2006 Proceedings
2005 Proceedings
2004 Proceedings
2003 Proceedings
2002 Proceedings
2001 Proceedings (June-December)



To obtain official copies of the proceedings, please read our public records policy and call our Topeka office at 1-888-407-2267 to obtain our e-mail contact information or you may submit your request in writing using our Topeka address found on our "Contact Page." When writing, provide the case name and date(s) of records you would like to receive and include your name, mailing address, daytime telephone number, and e-mail address in your request. The Public Information Officer will review each request, and upon approval, provide paper or electronic copies of the documents.

Notice to Investors:  If you are not a resident of Kansas and feel you have been affected by actions contained in our proceedings, contact your state securities regulator for assistance. To locate your securities regulator, go to the North American Securities Administrators Association website. If you choose to contact your state securities regulator, please inform him or her of the action taken by the State of Kansas.

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Copyright 2005 . Office of the Kansas Securities Commissioner
618 S. Kansas Avenue . Topeka, KS 66603-3804 . Voice: 785.296.3307 . Fax: 785.296.6872
Chris Biggs, Commissioner . Scam Hotline: 800.232.9580