11/06/2009 -
Montgomery County Resident (Michael Joe Hardiman) Indicted for
multiple alleged violations of the Alabama Securities Act.
10/26/2009
- ALERT -
Current Internet "Phishing" Scams
Target ARS Investors in Alabama.
10/21/2009
-
Governor Riley Appoints New Commissioner to Alabama Securities
Commission.
10/13/2009
-
Alabama Securities Commission
Announces Continuation of IARD System Fee Waiver.
10/07/2009
-
Mobile County Resident (Scott Anthony Harwell) Sentenced for
Multiple Violations of Alabama Securities Act.
10/06/2009
-
Lee County Resident (Michael James
Dixon) Convicted of Securities Violations has Probation Revoked.
09/28/2009
-
Alabama Securities Commission Promotes Investor Education and Fraud
Prevention Outreach for Alabama Citizens.
09/14/2009
-
James L. "Jamie" Butler, Jr. of Madison
County Sentenced to 75 Years of Imprisonment
08/18/2009
-
Alabama Securities Commission
Announces Top 10 Investor Traps
08/13/2009
- Sylacauga Resident (Gary Allen Mitchell)
Sentenced for Securities Violations.
08/07/2009
- International Investor Protection Organization Re-Elect Joseph P.
Borg to Board of Directors.
08/07/2009
- Mobile County Resident (Scott Anthony Harwell)
Pleads Guilty to Multiple Violations of Alabama Securities Act.
08/05/2009 -
Contact Information for Customers of Allegro
law LLC.
07/31/2009 -
New Law Strengthens Role of Alabama Securities
Commission to Protect Investors.
07/28/2009 -
James L. "Jamie" Butler, Jr. of Madison county
Found Guilty on Nime Counts of Alabama Securities Act Violations.
07/28/2009 -
California Resident (Daniel Caterino) Sentenced 15 Years for
Violation of the Alabama Securities Act.
07/21/2009 -
Alabama Securities Commission Issues Order to
Show Cause to Morgan Keegan and Company, Inc.
07/08/2009 -
ALERT -
European-based Financial Website May be Investor Trap
06/16/2009 -
Alabama Securities Commission Launches Statewide Military Outreach
Program
06/12/2009 -
SEC and ASC Charge Alabama Broker-Dealer for Rampant Churning and
Extensive Supervisory violations
06/04/2009 -
Risky Business: U.S. Needs Council of State, Federal Regulators to
Rein in Risk
05/20/2009 -
Sylacauga Resident (Gary Allen Mitchell) Pleads Guilty to Violations
of the Alabama Securities Act
05/13/2009 -
ALERT -
ASC Identifies Popular Scams for 2009
05/11/2009
- CONSUMER ALERT - Beware of
Questionable Debt management Programs
05/09/2009
- California Resident (Daniel Caterino) Pleads Guilty to a violation
of the Alabama Securities Act.
05/08/2009
- Arizona Resident (Gene Grobstein) Arrested for Alleged Violations
of Alabama Securities Act.
05/06/2009 -
Investigate Before you Invest
05/05/2009
- Texas Resident (Arnulfo M. Acosta) Pleads Guilty to securities
Fraud in Connection with Wide-Ranging investment scheme
05/04/2009
- Alabama Securities Commission Voices Strong support for "Senior
Investment Protection Act of 2009"
04/27/2009
- Jefferson County Residents (Cary Alan Burdette and Randall Layne
Pardue) Arrested for Alleged Violations of Alabama Securities Act.
04/13/2009
- Hawaii Resident (Randle William Villa) Pleads Guilty to securities
Violations - Hidden Under SEC Exemption
04/02/2009
- Wisconsin Resident (Michael James Konkel) Pleads Guilty to
Violations of Alabama Securities Act
03/31/2009
- Tuscaloosa County Resident (Gene Thomas LeGrone, Jr.) Indicted for
Alleged Violations of Alabama Securities Act
03/31/2009
- South Carolina Resident
(Michael Kevin Mullen) Extradited From Europe to Alabama for Alleged
Violations of Alabama Securities Act
03/27/2009 -
Elmore County Resident (Guerry
Lamar Reese) Pled
Guilty to Violations of Alabama Securities Act
03/27/2009 -
Alabama Joins In National Investor
Education Initiative
03/16/2009 -
New Jersey
Resident
(Steven A. Cantor) Arrested for Alleged Violations of Alabama
Securities Act.
03/06/2009 -
ALERT - Alleged Certificate
of Deposit Investment Scheme.
03/02/2009 -
Lee County Resident (Michael
James Dixon)
Pleads Guilty to Violations
of Alabama Securities Act.
02/25/2009 -
Mobile County Resident (Scott
A. Harwell)
Arrested for
Alleged Violations of Alabama Securities Act.
02/18/2009 - Shelby County Resident (Paul
Haskell Lane, Jr.),
Jefferson County Resident and Daughter (Katherine
Hope Lane)
and Resident of
Jackson, Michigan (Michael
Pahl) Arrested for Alleged Violations of Alabama Securities Act.
02/13/2009 -
Ohio Resident ( Timothy
Heyman)
Pleads Guilty to Violation of Alabama Securities Act.
02/13/2009
- California Residents ( Randy
Morton and Candice Lynn Lewis)
Plead Guilty to Violations of the Alabama
securities Act.
02/09/2009 - Tuscaloosa
County Residnet (Howard Jackson Cleveland, Jr., also known as “Tiny” Cleveland)
Pleads Guilty to Violations of Alabama
Securities Act.
02/06/2009 -
Shelby Count Resident
(Lysle
John Fleming)
Pleads Guilty to Violations of Alabama Securities
Act.
02/05/2009 - Madison
County Resident ( Hunter
Brown Daniel, Jr.)
Pleads Guilty to Securities Fraud.
01/14/2009
-
Californians ( Stanley
H. Johnson and his wife Easter L. Johnson) Pled Guilty to Illegal
Offering of Securities - Hidden Under SEC
Exemption.
For comments and/or suggestions contact
Education and Public Affairs Manager at:
dlord@asc.alabama.gov
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