News Archives - 2004

2018 | 2017 | 2016 | 2015 | 2014 | 2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006 | 2005 | 2003 | 2002 | 2001

12/29/2004 - Carlos Fernandez from Costa Rica Arrested for Alleged Violations of the Alabama Securities Act.
12/01/2004 - Alabama Public Television and the Alabama Securities Commission Partner to Promote Personal Finance.
11/09/2004 - Wayne H. Smith of Heflin, Alabama was arrested for alleged violations of the Alabama Securities Act.
10/29/2004 - Alert - Citizens Beware of Offers Via Internet from Liberty Assets, Inc. (LAI) & Mondale Trading and Foreign Shareholder
                     Protection Department (FSPD)
10/18/2004 - 830-X-3-.05 Statement Of Financial Condition (Proposed Commission Rule Changes).
10/18/2004 - 830-X-3-.14 Records Required Of Registered Dealers (Proposed Commission Rule Changes).
10/14/2004 - Cease and Desist issued against Learn Waterhouse Inc.
09/15/2004 - Investor Alert - Unregistered Investment Companies Ordered to Cease and Desist (Raised $160 Million from Religious Organizations).
08/25/2004 - Alabama to Receive $400,000 in Settlement with Deutsche Bank Securities and Thomas Weisel Partners 
08/13/2004 - Investor Alert - OTC Telemarketing Scam
07/28/2004 - Edwin Rick Woods Arrested - Three Hands Construction, LLC 
07/28/2004 - Thomas and Inez McCray are Arrested and Bonds Revoked - Health and Wealth Coop
05/17/2004 - John Mewbourn pleads guilty to 6 counts of sale of unregistered securities.
04/08/2004 - Joseph Borg Speaks to the United Nations
03/29/2004 - AmSouth Investment Services Assessed $225,000 in Fines and Penalties by Mississippi and Alabama Regulators
03/25/2004 - Wealth Builders International (BWI) - Terry Harris Arrested
03/24/2004 - Memlock Systems - Dale and Shirley Graybill Arrested
02/17/2004 - Announcing the Economic Crime Alliance of Alabama
01/21/2004 - The Jump $tart Coalition and Other Non-Profit Agencies Receive Grants to Promote Personal Finance Education in Alabama
01/14/2004 - Daystar - Kelly Vickers Sentenced

 

For comments and/or suggestions contact
Education and Public Affairs Manager at:
dlord@asc.alabama.gov