News Archives - 2005

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12/22/2005 -  ASC Reminds Investors to Do Their Homework Before Investing in 529 College Savings Plans.
12/12/2005 -  HOOVER RESIDENTS ARRESTED AS PART OF INTERNATIONAL SECURITIES SCHEME.
12/12/2005 - Alabama Securities Commission Urges Investors to Carefully Check Credentials of ‘Senior Specialists’
12/08/2005 - Allison Creighton pled guilty to Securities Fraud.
11/17/2005 - Securities Commission Reaches Agreement with Morgan Stanley to Compensate Birmingham Investors.
11/10/2005 - Securities Commission Financial Education Manager receives national award for service to the Investing Public.
11/02/2005 - Dendrick Atkins charged with 16 counts of Fraud.
10/07/2005 - Alabama Securities Commission Announces System Fee Waiver & Reduction for Advisers.
10/06/2005 - ASC announces promotions and new personnel in the Legal Division.
09/16/2005 - Alabama Securities Commission works with US Attorney office – results in 5 count indictment against Randall T. Treadwell, Arnulfo M.
                     Acosta, Ricky D. Sluder, and Larry C. Saturday with wire fraud and conspiracy (Learn Waterhouse, Inc., Wealth Builders Club, Inc.,
                     and Qwest International, Inc)
09/16/2005 - Anthony Darrell Harris surrenders to the Mobile County Authorities for alleged involvement in an illegal securities scheme.
09/09/2005EMERGENCY ORDER Due To Hurricane Katrina
09/07/2005 - Securities and Insurance Regulators from Alabama Join Multi-State Settlement Against a Kansas City, MS Brokerage and Insurance Firm
                     (Waddell & Reed) for an Unsuitable Variable Annuity Exchange Program.
08/22/2005 Alert - Alabama Securities Commission Advises Investors to Beware of Hurricane-Related Scams.
08/22/2005 - Alabama Securities Commission Spans the Globe
08/15/2005 - Dale and Shirley Graybill sentenced for involvement in securities scheme.
08/09/2005 - Joseph P. Borg, Director of the Alabama Securities Commission, has been elected to the position of President-elect for the North American
                     Securities Administrators Association (NASAA).
08/08/2005 -  Alert - Warning to Citizens:  PIPS, PURE, and PIC have been ordered to Cease and Desist business in Alabama.
08/05/2005 - Terry Harris placed in the Montgomery County Detention Facility.
07/28/2005 -  Alert - Commission Warns Investors to Beware of Phony Regulators - Foreign investors getting a bad deal, in any language.
05/13/2005 - Alert - Warning to Alabama Citizens: Angel Construction, Inc., Angel Homes, and Angel Investments have been ordered to Cease and
                     Desist Business.
04/28/2005 - Terry Harris of Birmingham, Alabama Sentenced for violations of the Alabama Securities Act.
04/13/2005 - Gwaltney, Downen, and Morice, arrested in Tennessee for alleged violations of the Alabama Securities Act.
04/06/2005 - Alabama Joins in National Investor Education Initiative.
03/28/2005 - Edwin Rick Wood of Millbrook, Alabama Sentenced for Securities Fraud and Theft of Property.
03/04/2005 - Alert - Warning to Alabama Citizens About Possible Illegal Offer and/or Sale of Securities by CARUBA INTERNATIONAL, LLC.
                     and TRADEWIND HOLDING COMPANY
03/01/2005 - Edwin Rick Wood of Millbrook, Alabama Pled Guilty to Securities Fraud and Theft of Property.
02/28/2005 - Allison Hunt Creighton Arrested for Alleged IRA Securities Scam.
02/25/2005 - Jameka Whatley of Birmingham, Alabama Pled Guilty to Fraud and Theft in Stock Options Trading Scam.
02/08/2005 -  Alert - Be on Alert for Offerings from Premium Income Corp, Tri-Forex International, LTD and Suspected Key Associates Listed Below.
02/02/2005 - Frank Ray Johnson and Milton Vaughn of Montgomery, Alabama Arrested for Alleged Participation in Prime Bank Scheme.
01/27/2005 - Wealth Builders International (WBI) Founder, Terry Harris, Pleads Guilty

 

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