News Archives - 2006

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12/15/2006 - Christopher Croft Arrested for Alleged Violations of the Alabama Securities Act.
12/13/2006 - Advanced Fee Scam Offers to Buy Shares of "Underperforming" or Worthless Securities at a High Price.
12/12/2006 - State Securities Regulators Report Increases in Enforcement Actions, Money Ordered Returned to Investors & Years of Incarceration for
                     Securities Law Violations.
10/27/2006 - Alabama Securities Commission Announces Continuation of IARD System Fee Waiver.
10/24/2006 - Harris Ordered to Pay Almost a Million Dollars in Restitution to Victims.
10/11/2006 - Lamonica Plea and Sentence.
09/19/2006 - Joseph P. Borg elected to head international securities organization.
08/22/2006 - Anthony Darrell Harris Sentenced 18 Months for Securities Fraud.
07/28/2006 - Dendrick Atkins Pled Guilty to Three Counts for Violation of the Alabama Securities Act and Theft of Property.
07/25/2006 - Alabama Top Securities Regulator - Letter of Concern
07/05/2006 - Alabama to Receive Over $300,000 in Wachovia Settlement.
06/16/2006 - Alert - Watch Out For These Five Investor Traps "NOW"
05/16/2006 - ASC to join SEC in new Alabama campaign to protect Senior investors.
05/01/2006 - Alabama Securities Commission Partners with IRS to Share Bank Secrecy Act Information.
04/12/2006 - Alabama Securities Commission Appoints New Senior Special Agent.
03/20/2006 - Alert – Five scams to watch out for now!
03/14/2006 - Survey Finds Most Investors Lack Critical Survival Skills
03/06/2006 - Investor Warning from North Carolina and Alabama - Auto Surf "May be a new Ponzi Scheme".
02/16/2006 - ASC Releases “Unlucky 13” List of Investor Traps for 2006.
02/13/2006 - Mobile Couple (Thomas and Inez McCray) Pled Guilty to Violations of Alabama Securities Act.
01/24/2006 - Hoover Resident Arrested Again For Alledged Involvement in an International Securities Scheme.
01/23/2006 - Mervish and Pier Arrested in Miami, will be Extradited to Alabama for Alleged Securities Fraud.
01/10/2006 - Alabamians Beware of Tax Related Investment Opportunities

 


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Education and Public Affairs Manager at:
dlord@asc.alabama.gov