-
11/06/2009 -
Montgomery County Resident (Michael Joe Hardiman) Indicted for
multiple alleged violations of the Alabama Securities Act.
10/26/2009
- INVESTOR ALERT:
Current Internet "Phishing" Scams
Target ARS Investors in Alabama.
-
10/21/2009
-
Governor Riley Appoints New Commissioner to Alabama Securities
Commission.
-
10/13/2009
-
Alabama Securities Commission
Announces Continuation of IARD System Fee Waiver.
-
10/07/2009
-
Mobile County Resident (Scott Anthony Harwell) Sentenced for
Multiple Violations of Alabama Securities Act.
10/06/2009
-
Lee County Resident (Michael James
Dixon) Convicted of Securities Violations has Probation Revoked.
09/28/2009
-
Alabama Securities Commission Promotes Investor Education and Fraud
Prevention Outreach for Alabama Citizens.
09/14/2009
-
James L. "Jamie" Butler, Jr. of Madison
County Sentenced to 75 Years of Imprisonment
-
08/18/2009
-
Alabama Securities Commission
Announces Top 10 Investor Traps
08/13/2009
- Sylacauga Resident (Gary Allen Mitchell)
Sentenced for Securities Violations.
-
08/07/2009
- International Investor Protection Organization Re-Elect Joseph P.
Borg to Board of Directors.
-
08/07/2009
- Mobile County Resident (Scott Anthony Harwell)
Pleads Guilty to Multiple Violations of Alabama Securities Act.
-
08/05/2009 -
Contact Information for Customers of Allegro
law LLC.
-
07/31/2009 -
New Law Strengthens Role of Alabama Securities
Commission to Protect Investors.
-
07/28/2009 -
James L. "Jamie" Butler, Jr. of Madison county
Found Guilty on Nime Counts of Alabama Securities Act Violations.
07/28/2009 -
California Resident (Daniel Caterino) Sentenced 15 Years for
Violation of the Alabama Securities Act.
07/21/2009 -
Alabama Securities Commission Issues Order to
Show Cause to Morgan Keegan and Company, Inc.-
07/08/2009 -
INVESTOR ALERT:
European-based Financial Website May be Investor Trap
06/16/2009 -
Alabama Securities Commission Launches Statewide Military Outreach
Program-
06/12/2009 -
SEC and ASC Charge Alabama Broker-Dealer for Rampant Churning and
Extensive Supervisory violations
-
06/04/2009 -
Risky Business: U.S. Needs Council of State, Federal Regulators to
Rein in Risk
-
05/20/2009 -
Sylacauga Resident (Gary Allen Mitchell) Pleads Guilty to Violations
of the Alabama Securities Act
-
05/13/2009 -
INVESTOR ALERT:
ASC Identifies Popular Scams for 2009
-
05/11/2009
- CONSUMER ALERT: Beware of
Questionable Debt management Programs
-
05/09/2009
- California Resident (Daniel Caterino) Pleads Guilty to a violation
of the Alabama Securities Act.
-
05/08/2009
- Arizona Resident (Gene Grobstein) Arrested for Alleged Violations
of Alabama Securities Act.
-
05/06/2009 -
Investigate Before you Invest
-
05/05/2009
- Texas Resident (Arnulfo M. Acosta) Pleads Guilty to securities
Fraud in Connection with Wide-Ranging investment scheme
-
05/04/2009
- Alabama Securities Commission Voices Strong support for "Senior
Investment Protection Act of 2009"
-
04/27/2009
- Jefferson County Residents (Cary Alan Burdette and Randall Layne
Pardue) Arrested for Alleged Violations of Alabama Securities Act.
-
04/13/2009
- Hawaii Resident (Randle William Villa) Pleads Guilty to securities
Violations - Hidden Under SEC Exemption
-
04/02/2009
- Wisconsin Resident (Michael James Konkel) Pleads Guilty to
Violations of Alabama Securities Act
-
03/31/2009
- Tuscaloosa County Resident (Gene Thomas LeGrone, Jr.) Indicted for
Alleged Violations of Alabama Securities Act
-
03/31/2009
- South Carolina Resident
(Michael Kevin Mullen) Extradited From Europe to Alabama for Alleged
Violations of Alabama Securities Act
-
03/27/2009 -
Elmore County Resident (Guerry
Lamar Reese) Pled
Guilty to Violations of Alabama Securities Act
-
03/27/2009 -
Alabama Joins In National Investor
Education Initiative
-
03/16/2009 -
New Jersey
Resident
(Steven A. Cantor) Arrested for Alleged Violations of Alabama
Securities Act.
-
03/06/2009 -
INVESTOR ALERT: Alleged Certificate
of Deposit Investment Scheme.
-
03/02/2009 -
Lee County Resident (Michael
James Dixon)
Pleads Guilty to Violations
of Alabama Securities Act.
-
02/25/2009 -
Mobile County Resident (Scott
A. Harwell)
Arrested for
Alleged Violations of Alabama Securities Act.
-
02/18/2009 - Shelby County Resident (Paul
Haskell Lane, Jr.),
Jefferson County Resident and Daughter (Katherine
Hope Lane)
and Resident of Jackson, Michigan (Michael
Pahl) Arrested for Alleged Violations of Alabama Securities Act.
-
02/13/2009 -
Ohio Resident (Timothy
Heyman)
Pleads Guilty to Violation of Alabama Securities Act.
-
02/13/2009
- California Residents (Randy
Morton and Candice Lynn Lewis)
Plead Guilty to Violations of the Alabama
securities Act.
-
02/09/2009 - Tuscaloosa
County Residnet (Howard Jackson Cleveland, Jr., also known as “Tiny” Cleveland)
Pleads Guilty to Violations of Alabama Securities Act.
-
02/06/2009 -
Shelby Count Resident
(Lysle
John Fleming)
Pleads Guilty to Violations of Alabama Securities
Act.
-
02/05/2009 - Madison
County Resident (Hunter
Brown Daniel, Jr.)
Pleads Guilty to Securities Fraud.
-
01/14/2009
-
Californians (Stanley
H. Johnson and his wife Easter L. Johnson) Pled Guilty to Illegal
Offering of Securities - Hidden Under SEC Exemption.
