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