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12/30/2008
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Alabama
Securities Commission Announces Key Appointments and Administrative
Changes
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12/12/2008 -
Joseph Borg Appointed to Represent International Securities
Organization as Ombudsman and Chair of International Committee.
12/11/2008
- NASAA’s Financial
Services Regulatory Reform Roundtable press conference and webcast
in Washington D.C.
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12/09/2008
- Former Bessemer Revenue Director,
Ryan Rancher, Pleads Guilty to Violations of Alabama Securities Act
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11/26/2008
- Jefferson County Man
Arrested for Alleged Violations of Alabama Securities Act
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11/24/2008
- Regulatory Reform: A Multi-layered Approach
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11/24/2008
- Feeling the Squeeze:
Alabama Securities Commission Offers Sandwich Generation Relief
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11/14/2008
- Houston County Man (Edmondson)
Arrested for Alleged Violations of Alabama Securities Act
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11/10/2008
- Securities Director Reminds Auction Rate Securities Investors to
Contact Firms About Buyback Offers
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11/03/2008
- State Official Invited to
Present at Corporate Governance Conference in Taiwan
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10/31/2008 - Alabama Securities Commission
Announces IARD System Fee Waiver
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10/29/2008 -
Hawaii Man Arrested for Alleged
Violations of Alabama
Securities Act
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10/27/2008 -
Sylacauga Man Arrested for
Alleged Violations of Alabama Securities Act
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10/14/2008 - The Alabama Securities Commission and AARP Team to
Offer “Free Lunch Seminar Monitor” Program Older Americans
Increasingly Targeted By Financial Scammers.
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09/26/2008
- Alabama Investors to Participate in Settlements over the Sale of
Auction Rate Securities.
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09/25/2008
- State Agencies Warn about Internet Lottery and Sweepstake Scams
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09/25/2008
- The Alabama Securities Commission Cautions Main Street Investors
Against Making Uninformed, Sudden Decisions Amid Wall Street Crisis
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09/24/2008 -
Opelika Man,
Michael James Dixon,
Indicted by Lee County Grand Jury for Alleged Violations of Alabama
Securities Act
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08/20/2008
- Ronald Dover Holland Enters Guilty Plea for Violations of Alabama
Securities Act
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08/18/2008
- Former SEC Chairman to Assist Alabama Securities Commission in
Short Selling Investigation
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07/14/2008
- Lee County Man, Michael James Dixon, Arrested for Alleged
Violations of Alabama Securities Law
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07/07/2008 -
Alabama Securities Commission Proposes Rule Prohibiting Misleading
Professional Designations Aimed at Senior Investors
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07/07/2008
- Alabama Securities Commission Welcomes New
Commissioners
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06/17/2008
- Alabama Securities Commission Identifies Traps
Likely to Burn Investors this Summer
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05/28/2008 -
Madison County Man,
Hunter Brown Daniel, Jr.,
is Indicted for Alleged Violations of Alabama Securities Law
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05/28/2008
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James F. Fitch Sentenced for Violations of Alabama Securities Act
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04/16/2008 -
Montgomery Man,
Willie Joe Phillips,
Enters Plea for Violations of Alabama Securities Act
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04/13/2008 -
ASC Director on National NBC Dateline hidden camera investigation
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04/10/2008 -
Joseph Borg, Delegate to United Nations Committee that Receives
Special Recognition
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04/07/2008 -
Tuscaloosa County Man,
Howard
Jackson Cleveland, Jr.,
Is Indicted for Alleged
Violations of Alabama Securities Law
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04/01/2008
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IRS and Alabama Securities Commission Warn of Top 10 Scams
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03/25/2008
- ASC, NASAA, SIPC Offer Answers to Investors
Concerned About the Safety of Their Brokerage Accounts
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03/20/2008
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State agencies create Alabama Annuities Task Force
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03/12/2008 -
Alabama Securities Commission Hosts SEC
Chairman and Investor Education Partners
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02/15/2008 -
DeKalb County Man, James William Griffith,
Indicted for Alleged Violations of Alabama Securities Law
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02/04/2008 -
Three Orange County, California Residents
Arrested for Alleged Alabama Securities Law Violations -
(Stanley Johnson, Easter Johnson and Natalie Romo).
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02/04/2008 - Shelby County Man Arrested for Alleged Violations
of Alabama Securities Law - (Lysle
John Fleming, Jr.)
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01/07/2008 -
Alabama Securities Commission
Senior Special Agent Receives National Enforcement Award
