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ROME v. MANDEL

Court of Appeals No. 15CA2033.

405 P.3d 387 (2016)

2016 COA 192M

Gerald ROME, Securities Commissioner for the State of Colorado, Plaintiff-Appellee, v. Mark MANDEL and Wall Street Radio, Inc., d/b/a Winning on Wall Street, Defendants-Appellants.

Colorado Court of Appeals, Div. III.

As Modified on Denial of Rehearing January 26, 2017.

Attorney(s) appearing for the Case

Cynthia H. Coffman , Attorney General, Russell B. Klein , Deputy Attorney General, Sueanna P. Johnson , Assistant Attorney General, Denver, Colorado, for Plaintiff-Appellee.

Jones & Keller, P.C., David Zisser , Denver, Colorado, for Defendants-Appellants.

Vorndran Shilliday, P.C., Paul Vorndran , Denver, Colorado; Zachary Knepper , Washington, D.C., for Amicus Curiae North American Securities Administrators Association, Inc.

¶ 1 The Securities Commissioner of Colorado, Gerald Rome, brought this civil enforcement action under the Colorado Securities Act (CSA), §§ 11-51-101 to -908, C.R.S. 2016, against defendants, Marc Mandel and Wall Street Radio, Inc. d/b/a Winning on Wall Street (WSR). The Commissioner alleged

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