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Posted on: April 25, 2016

Essay Scholarship Winners Announced!

Nearly 90 seniors from across the state of Kansas submitted essays to compete for over $8,000 in scholarship awards in the Kansas Financial Scholars Essay Contest. This contest is sponsored by the Office of the Kansas Securities Commissioner and the Offic...Read on...

Read Berkley Wiegers' winning essay here!
Posted on: April 13, 2016

Insurance and Securities Commissioners Partner to Advocate for National Retirement Planning Week

Consumer Alert: Be sure to have a financial say in retirement!

TOPEKA, Kan. — Ken Selzer, CPA, Kansas Commissioner of Insurance, and Josh Ney, Kansas Securities Commissioner, are urging Kansans to review their financial preparedness and insurance prior...Read on...

Posted on: April 4, 2016

Governor Declares April Financial Literacy Month in Kansas

FOR IMMEDIATE RELEASE:
April 4, 2016

Media Contact: Caley Love, Director of Communications Phone: 785-296-3580
Email: caley.love@ksc.ks.gov

Governor Declares April Financial Literacy Month in Kansas

TOPEKA, Kan., (Apr. 4, 2016) – Governor S...Read on...

Click here for a PDF of the release.
Posted on: April 4, 2016

Kansas Man Pleads Guilty in Investment Fraud Scheme

FOR IMMEDIATE RELEASE:
April 4, 2016

Media Contact: Caley Love, Director of Communications Phone: 785-296-3580
Email: caley.love@ksc.ks.gov

Kansas Man Pleads Guilty in Investment Fraud Scheme

WICHITA, Kan., (Apr. 4, 2016) – Kansas Securitie...Read on...

Click here for a PDF of the release.
Posted on: March 28, 2016

Wichita Man Sentenced to 61 Months in Prison for Securities Fraud

FOR IMMEDIATE RELEASE:
March 28, 2016

Media Contact: Caley Love, Director of Communications Phone: 785-296-3580
Email: caley.love@ksc.ks.gov

Wichita Man Sentenced to 61 Months in Prison for Securities Fraud

WICHITA, Kan., (Mar. 28, 2016) – ...Read on...

Click here for a PDF of the release.
Posted on: February 22, 2016

Securities Commissioner Reminds Military Retirees to Keep Watch against Financial Predators

Kansas Securities Commissioner Reminds Military Retirees to Keep Watch against Financial Predators

TOPEKA, Kan., (Feb. 22, 2016) – Kansas Securities Commissioner Josh Ney, in recognition of Military Saves Week, today reminded military retirees through ...Read on...

Click here for a PDF of the release.
Posted on: February 2, 2016

ABC’s ‘Madoff’ miniseries gives Real-Life Lessons in Dangers of Financial Fraud

Scammed Graphic.jpg

TOPEKA, Kan., (Feb. 2, 2016) – Kansas Securities Commissioner Josh Ney and United States Senator Jerry Moran (R-Kan.) have teamed up for a series of public service announcements about investment fraud surrounding the release of a new ABC miniseries profil...Read on...

Click here for a PDF of the release.
Posted on: December 1, 2015

Agencies announce opening of contest for Fifteen Scholarships; Grand Prize winner will receive $2500

Essay Contest Banner

FOR IMMEDIATE RELEASE:
December 1, 2015

Media Contact: Caley Love, Director of Communications Phone: 785-296-3580
Email: caley.love@ksc.ks.gov

Agencies announce opening of Scholarship Essay Contest for Fifteen Scholarships; Grand Prize winner...Read on...

Click here for a PDF of the release.
Posted on: November 24, 2015

Wichita Man Sentenced for Securities Fraud

FOR IMMEDIATE RELEASE:
November 24, 2015

Media Contact: Caley Love, Director of Communications Phone: 785-296-3580
Email: caley.love@ksc.ks.gov

Wichita Man Sentenced for Securities Fraud

WICHITA, Kan., (Nov. 24, 2015) – Kansas Securities C...Read on...

Click here for a PDF of the release.
Posted on: September 3, 2015

2 Financial Advisor Seminars Announced for October of 2015

Seminar

Registration is now open for financial advisor seminars in Overland Park on October 13 and Wichita on October 15.

Click here to learn more!
Posted on: August 13, 2015

Securities Commissioner Announces $50,000 in Investor Education Grants

FOR IMMEDIATE RELEASE:
August 13, 2015

Media Contact: Caley Love, Director of Communications Phone: 785-296-3580
Email: caley.love@ksc.ks.gov

Securities Commissioner Announces $50,000 in Investor Education Grants

Seven grants are being awar...Read on...

Posted on: June 16, 2015

State Agencies Support World Elder Abuse Awareness Day

FOR IMMEDIATE RELEASE:
June 16, 2015

Media Contact: Caley Love, Director of Communications Phone: 785-296-3580
caley.love@ksc.ks.gov

State Agencies Support World Elder Abuse Awareness Day

Agencies encourage Kansans to join the fight a...Read on...

Posted on: April 30, 2015

State Agencies Announce 2015 Scholarship Contest Winners

Winners with Governor

FOR IMMEDIATE RELEASE: April 30, 2015
Media Contact: Caley Love, Director of Communications Phone: 785-296-3580
caley.love@ksc.ks.gov

State Agencies Announce 2015 Scholarship Contest Winners

Four out of five student winners traveled to Top...Read on...

Posted on: April 2, 2015

Kansas Securities Commissioner Accepting 2015 Investor Education Grant Applications

FOR IMMEDIATE RELEASE:
April 2, 2015
Media Contact: Caley Love, Director of Communications Phone: 785-296-3580
caley.love@ksc.ks.gov

Kansas Securities Commissioner Accepting 2015 Investor Education Grant Applications

TOPEKA, Kan., (April 2...Read on...

Click here for a PDF version of the press release.
Posted on: March 27, 2015

Governor Signs Proclamation Declaring April Financial Literacy Month

MoneySmart group

FOR IMMEDIATE RELEASE:
March 27, 2015

For more information:Kirk Haskins
khaskins@ksde.org785.296.4916

Governor Signs Proclamation Declaring April Financial Literacy Month

TOPEKA, Kan. – Governor Sam Brownback signed a proclamation on March ...Read on...

Click here to learn more!
Posted on: March 10, 2015

Kansas Securities Commissioner Announces 2015 Financial Scholars Video Contest

FOR IMMEDIATE RELEASE:
March 10, 2015
Media Contact: Caley Love, Director of Communications Phone: 785-296-3580
caley.love@ksc.ks.gov

Kansas Securities Commissioner Announces 2015 Financial Scholars Video Contest

Financial Scholars are eli...Read on...

Posted on: February 23, 2015

Securities Fraud Charges Filed Against Downtown Wichita Developers

FOR IMMEDIATE RELEASE:
Feb. 23, 2015

Media Contact: Caley Love, Director of Communications Office of the Kansas Securities Commissioner
Phone: 785-296-3580 caley.love@ksc.ks.gov

Securities Fraud Charges Filed Against Downtown Wichita Develope...Read on...

To view a PDF of the release, click here.
Posted on: February 17, 2015

State Financial Agencies Partner to Award $7500 in Scholarships to Kansas High School Seniors

FOR IMMEDIATE RELEASE:

Feb. 17, 2015

Media Contact: Caley Love, Director of Communications
Office of the Kansas Securities Commissioner Phone: 785-296-3580
caley.love@ksc.ks.gov

State Financial Agencies Partner to Award $7500 in Scholarshi...Read on...

Click to view a PDF of the press release.
Posted on: December 16, 2014

Kansas Securities Commissioner Announces Launch of Streamlined Electronic Filing Depository (EFD)

December 15, 2014 – The Office of the Kansas Securities Commissioner (KSC) today announced the launch of the online Electronic Filing Depository (EFD), designed to enhance the efficiency of the regulatory filing process for certain exempt securities offer...Read on...

Posted on: October 29, 2014

Securities Commissioner Cautions Kansans to Prepare for Ebola-Related Scams

FOR IMMEDIATE RELEASE:
October 29, 2014

Media Contact: Caley Love, Director of Communications
Office of the Kansas Securities Commissioner 785-296-3580
caley.love@ksc.ks.gov

Securities Commissioner Cautions Kansans to Prepare for Ebola-Rel...Read on...

To view a PDF of the release, click here.
Posted on: October 13, 2014

KSC Staff Lends Expertise and Best Practices for Investing Wisely to Women & Money Series

TOPEKA – Women in Topeka and the Shawnee County area are invited to participate in the Women & Money classes being offered Thursday evenings from 7:00 to 8:30 PM, now through October 30, 2014 at the Topeka & Shawnee County Public Library located at 1515 S...Read on...

Click here for a PDF version of the press release.
Posted on: September 12, 2014

Lawrence Man Sentenced for Securities Fraud

LAWRENCE, KS – Kansas Securities Commissioner Josh Ney has announced the conviction of a Lawrence, Kan. man who was sentenced on Friday to 36 months probation and ordered to repay investors $214,000 in restitution for running a fraudulent investment schem...Read on...

Click here for a PDF version of the press release.
Posted on: July 1, 2014

Save the Date: 2014 Investment Adviser Compliance Seminar

Compliance Seminar

Our office is hosting a compliance seminar at Sporting Park in Kansas City, KS on Tuesday, October 7th. Registration is now open! Click the 2014 Compliance Seminar button on the right.

Posted on: May 13, 2014

Belleville Man Sentenced to 72 Months for Securities Fraud

TOPEKA, KS – Kansas Securities Commissioner Josh Ney has announced the conviction of a Belleville, Kan. man who was sentenced on Monday to 72 months in prison for running a fraudulent investment scheme in north central Kansas.

In a criminal case broug...Read on...

To view a PDF of the release, click here.
Posted on: April 30, 2014

Kansas Securities Commissioner Announces Winners of Third Annual High School Video Contest

Ell-Saline Video Graphic

TOPEKA, KS – High school students across the state submitted video contest entries to the Office of the Kansas Securities Commissioner in hopes of winning prizes for themselves and their teachers. Students who are working toward or who have received EverF...Read on...

Click here to watch the winning video!
Posted on: April 3, 2014

Kansas Securities Commissioner Announces Opening of 2014 Investor Education Grant Cycle

TOPEKA, KS – Kansas Securities Commissioner Josh Ney has announced that applications are now open for his agency’s 2014 Investor Education grant cycle. The deadline for applications to be received by the Office of the Kansas Securities Commissioner (KSC) ...Read on...

Click here for a PDF version of the press release.
Posted on: March 31, 2014

Governor Declares Financial Literacy Month in Kansas

Proclamation Signing

TOPEKA, KS – Governor Sam Brownback has signed a proclamation declaring the month of April as Financial Literacy Month in the state of Kansas, noting that financial literacy is essential to ensuring that Kansans are well prepared to manage money, credit, ...Read on...

Posted on: March 3, 2014

Kansas Securities Commissioner Announces 2014 Financial Scholars Video Contest

2013 Winners

Topeka, KS--- The Kansas Securities Commissioner is looking for creative videos that highlight the importance and value of informed, long-term investing. The winning video will be featured on the Securities Commissioner’s website and Facebook page, and st...Read on...

Posted on: February 27, 2014

Securities Fraud Charges Filed Against Lawrence Man

FOR IMMEDIATE RELEASE:
February 27, 2014
Media Contact: Caley LoveDirector of Communications
785-296-3580caley.love@ksc.ks.gov

Securities Fraud Charges Filed Against Lawrence Man

Roderic Deines has been charged with 11 felony counts, in...Read on...

To view a PDF of the release, click here.
Posted on: February 10, 2014

Proud Veterans Ordered to Cease and Desist for Violating Kansas Securities Laws

Derby, KS--- Kansas Securities Commissioner Josh Ney has issued a cease and desist order and notice of intent to impose administrative sanctions against Proud Veterans, LLC and its CEO, Nick Gnemi, of Derby.

The cease and desist order preliminarily fi...Read on...

Click here to view a copy of the order.
Posted on: January 14, 2014

Securities Fraud Charges Filed Against Belleville Man

FOR IMMEDIATE RELEASE:
January 14, 2014
Media Contact: Caley LoveDirector of Communications
785-296-3580caley.love@ksc.ks.gov

Topeka, KS--- Kansas Securities Commissioner Josh Ney announced that on January 10, criminal charges were filed i...Read on...

Posted on: December 24, 2013

New Securities Fraud Charges Filed Against Wichita Businessmen

FOR IMMEDIATE RELEASE:
December 24, 2013
Media Contact: Caley LoveDirector of Communications
785-296-3580caley.love@ksc.ks.gov

Wichita, KS--- Prosecutors for the Office of the Kansas Securities Commissioner announced that on December 24, 2...Read on...

Click here for a PDF version of the press release.
Posted on: December 19, 2013

New Victim Comes Forward in Securities Fraud Case against Former Wichita Investment Adviser

FOR IMMEDIATE RELEASE:
December 19, 2013

Media Contact: Caley LoveDirector of Communications
785-296-3580caley.love@ksc.ks.gov

Topeka, KS--- More charges are being filed against Dennis D. Bailey, a former financial adviser and Sedgwick Coun...Read on...

Click here for a PDF version of the press release.
Posted on: October 30, 2013

Commissioner orders Atchison business to Cease and Desist from Selling Unregistered Securities

FOR IMMEDIATE RELEASE:
October 30, 2013
Media Contact: Caley LoveDirector of Communications
785-296-3580caley.love@ksc.ks.gov

Securities Commissioner orders Atchison business to Cease and Desist from Selling Unregistered Securities in Pay-...Read on...

Posted on: October 10, 2013

Securities Commissioner files Felony Charges against former Wichita Financial Adviser

FOR IMMEDIATE RELEASE:
October 10, 2013
Media Contact: Caley LoveDirector of Communications
785-296-3580caley.love@ksc.ks.gov

Securities Commissioner files Felony Charges against former Wichita Financial Adviser for over $700,000 in Fraud-...Read on...

Posted on: September 6, 2013

Kansas Senate Confirmed Governor's Appointment of Josh Ney as Kansas Securities Commissioner

Josh Ney

The Kansas Senate confirmed Josh Ney for the position of Kansas Securities Commissioner on September 4, 2013. He had served as Acting Commissioner since February of 2013.

Prior to his appointment, Ney served as a Special Assistant Attorney General and...Read on...

Posted on: August 29, 2013

Securities Commissioner's Staff Recognized for Outstanding Service

Group Picture 8-28-13

Governor Sam Brownback recognized outstanding state employees of the quarter yesterday and our office was pleased to have two of our own awarded! Congrats to Kathy Bock and Shelly Welch!

Kathy has worked for our office for over 30 years and serves as...Read on...

Posted on: July 31, 2013

Kansas Investment Advisor Suspended and Ordered to Cease and Desist for Fraudulent Activity

FOR IMMEDIATE RELEASE:
July 31, 2013

Media Contact: Caley LoveDirector of Communications
785-296-3580caley.love@ksc.ks.gov

Kansas Investment Advisor Suspended and Ordered to Cease and Desist for Fraudulent Activity

Kansas Securities Comm...Read on...

Posted on: June 25, 2013

Securities Commissioner Eases Exemption Limitations for Raising Capital in Kansas

FOR IMMEDIATE RELEASE:
June 25, 2013

Media Contact: Caley LoveDirector of Communications
caley.love@ksc.ks.gov

Kansas Securities Commissioner Eases Exemption Limitations for Raising Capital in Kansas

The Kansas Securities Commissioner iss...Read on...

Click to view the Special Order...
Posted on: May 17, 2013

Wamego High School Students Receive Financial Literacy Certificates

Wamego Students

Topeka, KS- Students, parents, faculty and staff gathered last Monday in the Wamego High Auditorium for the high school awards ceremony honoring students for academic as well as athletics achievements, and recognizing scholarship awards to many of the hig...Read on...

Posted on: May 13, 2013

Investor Alert: Kansans Cautioned About Potential Fraud Tied to International Investment Scheme

Topeka, KS--- The Kansas Securities Commissioner issued a cease and desist order after learning that at least four Kansas residents had invested a total of $22,000 in an international investment scheme.

The order alleges that Inter Reef Ltd., a company...Read on...

Posted on: May 9, 2013

Kansas Financial Scholars Program Video Contest Winners Announced

Pic with Governor

Topeka, KS--- Interim Kansas Securities Commissioner Josh Ney along with Governor Sam Brownback awarded three students from Salina South High School, along with their teacher, with iPad minis for their winning video submission in the 2nd Annual Kansas Fin...Read on...

Click to view larger group picture...
Posted on: April 1, 2013

Governor Signs Proclamation Declaring April Financial Literacy Month

Governor Signing Proclamation

FOR IMMEDIATE RELEASE:
April 1, 2013

Media Contact: Caley Love Director of Communications
Office of the Kansas Securities Commissioner 785-296-3580
caley.love@ksc.ks.gov

TOPEKA, KS – Governor Sam Brownback signed a proclamation on March 2...Read on...

Click to view larger group picture...
Posted on: March 4, 2013

Office of Securities Commissioner Announces Financial Scholars Video Contest

FOR IMMEDIATE RELEASE:
March 4, 2013

Media Contact: Caley LoveDirector of Communications
785-296-3580caley.love@ksc.ks.gov

Office of Kansas Securities Commissioner Announces Financial Scholars Video Contest

In coordination with Financia...Read on...

For full PDF version of release, click here!
Posted on: February 25, 2013

Kansas Saves Week (America Saves Week)

America Saves Week!

America Saves Week is coordinated by America Saves and the American Savings Education Council. Started in 2007, the Week is an annual opportunity for organizations to promote good savings behavior and a chance for individuals to assess their own saving st...Read on...

To go the America Saves Week website, click here!
Posted on: November 26, 2012

Securities Commissioner reduces requirements for registered Investment Advisers.

Here is a link to the new IA registration requirements.

IA Registration Requirements
Posted on: November 8, 2012

WICHITA BUSINESSES ISSUED CEASE AND DESIST ORDER

FOR IMMEDIATE RELEASE:
Nov. 8, 2012

WICHITA BUSINESSES ISSUED CEASE AND DESIST ORDERWICHITA, Kan.—Kansas Securities Commissioner Aaron Jack announced that on November 7, 2012, an administrative Cease and Desist Order was issued against: Hybrid Asse...Read on...

Posted on: September 11, 2012

Kansas Securities Commissioner set to kick-off Women and Money Series

For Immediate Release:
Sept. 11, 2012

Kansas Securities Commissioner set to kick-off Women and Money Series

Topeka, Kan. - Securities Commissioner will be making opening remarks at the 2012 Women and Money Series.

The seven-week series wi...Read on...

Posted on: August 16, 2012

Kansans Encouraged To Be Cautious When Investing in Oil And Gas

FOR IMMEDIATE RELEASE:
Aug. 15, 2012

KANSANS ENCOURAGED TO BE CAUTIOUS WHEN INVESTING IN OIL AND GASIn recent years, Kansas landowners with mineral rights have enjoyed the financial benefit of oil and natural gas exploration in many counties. When ...Read on...

Posted on: May 23, 2012

Commissioner Jack Issues a Special Order Waiving Surety Bond Requirements

For Immediate Release: May 21, 2012

Commissioner Jack Issues a Special Order Waiving Surety Bond Requirements

Topeka, Kan- Commissioner Jack announced that he has issued a Special Order – Waiver Surety Bond requirements fo...Read on...

View full Special Order
Posted on: May 15, 2012

Commissioner Jack Recognizes Shawnee Mission Northwest Students, Teacher for Top Financial Literacy

Comm vid contest.jpg

For Immediate Release May 14, 2012

Commissioner Jack Recognizes Shawnee Mission Northwest Students, Teacher for Top Financial Literacy Video

Shawnee, Kan. - ...Read on...

Posted on: May 3, 2012

Pottawatomie County corporations considering securities act exemption to raise funds

May 3, 2012

Pottawatomie County corporations considering securities act exemption to raise funds

WAMEGO, KAN. - Kansas Securities Commissioner Aaron Jack attended a meeting at the Columbian Theatre in Wamego speaking to the Pottawatomie County Eco...Read on...

Posted on: April 10, 2012

Securities Commissioner Says Aspects of Dodd-Frank Are Roadblocks to Economic Recovery

Jack at WIBW Studio

Governor Brownback announced yesterday that he would allow two Kansas bills, SB 345 and HB 2505, to become law without his signature. The bills are a direct result of the Dodd-Frank Wall Street Reform and Consumer Protection Act which, among other things,...Read on...

Posted on: March 30, 2012

Special Order for Investment Advisers with Fewer Than 15 Clients

Special Order Granting Temporary Exemption for Certain Investment Advisers

WHEREAS, the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank Act") made significant changes to the federal regulation of investment advisers; and...

View full Special Order...
Posted on: March 28, 2012

Governor Signs Proclamation Declaring April Kansas Financial Literacy Month

Financial Literacy Month Proclamation Attendees with Governor

TOPEKA, KS – Governor Sam Brownback signed a proclamation on March 23, 2012 declaring the month of April to be Kansas Financial Literacy Month. In attendance with Securities Commissioner Aaron Jack, and supporting the Financial Literacy Month Proclamation...Read on...

Posted on: March 15, 2012

KSC Newsletter

The Office of the Securities Commissioner has introduced SB 349 for the 2012 legislative session. The bill implements some of the most significant changes in the Kansas Uniform Securities Act since its passage in 2005. Among other things, the bill would p...Read on...

View newsletter...
Posted on: March 1, 2012

Governor, Securities Commissioner Announce Statewide Financial Literacy Initiative in Kansas Schools

Sponsors of KSFS Program.jpg

TOPEKA, KANSAS –Governor Brownback, Securities Commissioner Aaron Jack, Banking Commissioner Ed Splichal, Mike Norris Vice President of Kansas Bankers Association and Bob Kobbeman, President Captial City Bank announced a new initiative to bring financial ...Read on...

Additional Info...
Posted on: February 16, 2012

UPDATED “FINANCIAL FIELD MANUAL” FOR MILITARY FAMILIES’ PERSONAL FINANCES NOW AVAILABLE F

TOPEKA, KS---Copies of the second edition of the “Financial Field Manual: The Personal Finance Guide for Military Families” will be distributed to military bases and directly to military families in Kansas by the Office of the Kansas Securities Commission...Read on...

Posted on: February 6, 2012

Commissioner Proposes Fund for Securities Litigation

Kansas has a reputation for being tough on securities violations, but investigation and prosecution takes a long time and expenses come out of the budget of the county where the fraud occurred.

Additional Info...
Posted on: November 15, 2011

Wichita Investment Adviser Suspended by Securities Commissioner

Kansas Securities Commissioner Aaron Jack issued an Emergency Order summarily suspending Wichita Investment Adviser Representative Eric T. Burns.

Burns, an investment adviser representative of Dimensions Financial Group, Inc. from November 2007 until...Read on...

Posted on: November 8, 2011

Helping to Stop Elderly Fraud Cold: Commissioner Jack Announces Hotline November 10th

TOPEKA, KS--A new hotline for seniors and adult children of the elderly in Kansas will be available Thursday, November 10th to deal with one of America’s biggest fraud problems: the estimated one out of every five citizens over the age of 65 who have bee...Read on...

Posted on: October 11, 2011

Commissioner Jack Names Jeffrey Kruske General Counsel for KSC

Commissioner Aaron Jack has named Jeffrey S. Kruske General Counsel for the Office of the Kansas Securities Commissioner.

The General Counsel is the chief legal officer of the agency and oversees all legal, regulatory and enforcement actions for the Of...Read on...

Posted on: September 8, 2011

Kansas Securities Commissioner Partners with Women & Money Series to Promote Financial Knowledge

Kansas Securities Commissioner Aaron Jack has partnered with the 2011 Women & Money Series to help women of all ages increase their financial knowledge, develop confidence in decision making and gain control of their lives through informed money managemen...Read on...

Posted on: August 12, 2011

Commissioner Jack Removes a Regulatory Hurdle for Small Kansas Businesses

For Immediate Release
August 12, 2011

Shannon Stone

Securities Commissioner Aaron Jack announced today that he has adopted a new exemption that will allow Kansas businesses to raise up to $1 million from investors without going through the expensive and time-consuming process for registering the securities with the Office of the Securities Commissioner. The new exemption, called the Invest Kansas Exemption (IKE), was adopted in Kan. Admin. Reg. 81-5-21 and goes into effect today.

According to Commissioner Jack, the new exemption is intended to help small businesses survive and grow, especially in rural areas. “When a small community wants to establish a new local business, such as a grocery store or movie theater, or save a popular local business that is in financial distress, it often results in a public appeal for investors,” said Jack. “Though well-meaning, these appeals make it difficult for the company to raise capital because they disqualify the company from the normal exemptions that permit a private offering of securities without registration. We have come up with a new way to allow these types of offerings under limited circumstances, even though they involve a public solicitation of investors.” The Commissioner advises companies that are interested in utilizing the exemption to contact his office for further information and guidance.

The Office of the Kansas Securities Commissioner is charged with administration and enforcement of the Kansas Uniform Securities Act and the Kansas Loan Brokers Act. The Office investigates and prosecutes securities fraud, the offer or sale of unregistered securities, and the offer or sale of securities by unlicensed stockbrokers or investment advisers. For more information and investor education resources, visit www.ksc.ksRead on...

Posted on: August 4, 2011

Southwest Kansas Business Ordered to Cease and Desist Selling its Investments

For Immediate Release August 3, 2011Shannon StoneTOPEKA, KS-Kansas Securities Commissioner Aaron Jack ordered Dodge City based Investments New Horizons to Cease and Desist from violations of the Kansas Uniform Securities Act, including the sale of unregistered securities and the use of unregistered agents to make the sales.

Beginning in February 2011, Investments New Horizons, through its officers, Vidal Zuniga, Juan Vargas, Zulma Aguirre-Ortiz, and Cecilia Mendoza-Castro, sold investment agreements promising a 10% per month rate of return and a return of all principal at the end of the term. In some instances, Investments New Horizons allowed purchase of a vehicle to be substituted in place of the monthly payments.

“Every sale of a security in Kansas is registered, exempt or illegal”, said Jack. “As stated in the Order, the investment agreements sold by Investment New Horizons have not been registered with the Office of the Kansas Securities Commissioner and none of the company’s officers were registered to make the sales. My office seeks to preserve and promote legitimate securities markets. However, we will take the necessary actions against these types of entities in order to protect Kansas investors. I encourage all investors to exercise caution when they are approached with offers that appear to be ‘too good to be true,’” Jack continued.

Persons that are interested in seeking capital for their business are encouraged to contact the Office of the Securities Commissioner at (785) 296-3307 or visit the website at www.ksc.ks.gov. For questions related to Investments New Horizons, please contact Wiley B. Kannarr, Director of Legal Services at (785) 296-5215Read on...

Posted on: August 4, 2011

Ordenan a una empresa en el suroeste de Kansas que cese y desista de vender sus Inversiones

Ordenan a una empresa en el suroeste de Kansas que cese y desista de vender sus Inversiones

TOPEKA, KS- Aaron Jack, Oficina del Alto Comisionado de Valores de Kansas ordeno a la empresa Investments New Horizons, localizada en Dodge City, que cese y des...Read on...

Posted on: July 21, 2011

Commissioner Adjusts to Delayed Implementation of Dodd-Frank Act

For Immediate Release
July 20, 2011 Shannon Stone (785.296.5017)

TOPEKA, KANSAS – Thursday, July 21st, will mark the o...Read on...

Posted on: July 21, 2011

Criminal Charges Filed Against Lion Share Capital Principals

For Immediate Release March 3, 2011

Criminal Charges Filed Against Lion Share Capital Principals

TOPEKA, KANSAS - - Securities Commissioner Aaron Jack announced today that Jeffrey K. Williams, Mark K. Nordyke, Sherrilynn L. Frierson and Gre...Read on...

Posted on: July 21, 2011

Kansas Securities Commissioner Observes 100-Year Anniversary of “Blue Sky Law”

TOPEKA, KANSAS - - It was exactly one hundred years ago today that the Kansas legislature enacted legislation known as the “Blue Sky Law” to protect Kansas investors from securities fraud. At that time, the citizens of the State of Kansas were experiencin...Read on...