-
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 - Investor
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
