Administrative & Criminal Proceedings
Cases
Proceedings are listed by date and respondent name. For a complete list of the cases for certain year's proceedings, please select "view all" and follow the respondent link to access a brief synopsis of each case.
Request Copies of Proceedings
To obtain official copies of the proceedings, please read our
Public Records Policy and call our office at 800-232-9580 or
email us, or you may submit your request in writing at:
109 SW 9th St., Ste. 600
Topeka, KS 66612-1215
When writing provide the case name and dates of records you would like to receive, and include your name, mailing address, daytime telephone number, and email 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
North American Securities Administrators Association. If you choose to contact your state securities regulator, please inform him/her of the action taken by the State of Kansas.
