- Two Investment Fraud Con Men (Patrick Daleiden and Bruce Mabey)
Sentenced to Prison
Order of the Commission - Provision for the Implementation of
- Former California Resident (Frederick Tayton Dencer) Arrested
in Mexico on Fugitive Warrant; Faces Extradition to Alabama to Face
Charges Related to Securities Act Violations.
- Florida, Utah Men (Patrick Michael Daleiden and Bruce J. Mabey)
Enter Guilty Pleas to Securities Violations in Choctaw County,
- Lee County Resident (Thomas Washington Campbell, III) Denied
Probation After Guilty Plea to Securities Charges.
- Former Shelby County Resident (Lysle John Fleming), Previously
Arrested for Securities Violations, Has Bond Revoked.
12/03/2012 - Florida, Utah and Alabama Men (Patrick Michael
Daleiden, Bruce J. Mabey, Matthew Arnold Gibson) Pled Guilty to
Securities Violations in
Madison County, Alabama.
- Baldwin County Resident (Richard James Tucker) Ordered to Pay
$2.02 Million in Restitution to Victims of Advance-Fee Loan Scam.
- Cullman County Resident (Jerry Gibbs Carter) Arrested in
Florida for Securities Violations.
- Joseph Borg Joins National White Collar Crime Center As
Non-Regional Board Director.
- Alabamians Begin Receiving 5,837 Checks Totaling Over
$14,200,000.00 from Morgan Keegan States' Fund Settlement.
- Morgan Keegan States' Fund Settlement Checks to be Distributed
November 5, 2012.
- Alabama Securities Commission Warns Investors to Watch for
- Alabama Securities Commission Senior Special Agent Retires
- Lee County Resident (Thomas Washington Campbell, III) Pleads
Guilty to Securities Fraud.
- Commissioner Hart Elected to Serve as Chairman of the Alabama
- Utah Resident (Bruce Mabey) Pleads Guilty to Choctaw County
- Minnesota Resident (Kevin Douglas Vickers) Arrested for
Alleged Jefferson County Securities Violations.
- Two Jefferson County Residents (Spero X. Vourliotis and Carey
Michael Billingsley) Enter Guilty Pleas Related to Unregistered
- Alabama Securities Commission Welcomes New Commissioners and
Recognizes Contributions of Former Members.
- Dothan Resident (Edward Lincoln Forehand) Indicted in
Securities Fraud Scheme.
- IARD System Fee Waiver for Investment Adviser Firms Remains
While Reduced System Fees Reinstated for Investment Adviser
- Florida Resident (Patrick Daleiden) Pleads Guilty to Choctaw
County Investment Scam.
- Jefferson County Resident (Jack Melvin Glover) Arrested for
Alleged Securities Violations.
- Laws Provide Con Artists with Personal Economic Growth Plan.
Alabama Securities Commission Identifies Emerging and Persistent
- Florida Resident (James Leonard Craft) Pleads Guilty to
Securities Fraud in Cullman County.
- Madison County Resident (Harry H. "Woody" Duncan) Sentenced on
Securities Fraud Charge.
- California Resident (Louis John Mensonides) Sentenced for
Conspiracy to Sell Unregistered Securities.
- Utah Resident (Bruce Jonathan Mabey) and Florida Resident
(Patrick Michael Daleiden) Arrested as a Result of Choctaw County
Indictments Alleging Illegal Investment Activities.
- Jefferson County Indictments Allege Illegal Activities
Surrounding Investment Clubs.
- Baldwin County Resident (Richard James Tucker) Sentenced for
Securities Violations Related to Synergy Finance Group, LLC.
- Deadline to Claim Money from the Region's Morgan Keegan Bond
- California Man Pleads Guilty to Conspiracy to Sell
- Lee County Resident (John David Stroud) Arrested in Baldwin
County for Alleged Securities Violations.
- Alabama Securities Commission Warns of Potential Dangers of
Crowdfunding Investment Opportunities.
Baldwin County Resident (Richard James Tucker) Convicted for
Securities Act Violations Related to Synergy Finance Group, LLC.
04/24/2012 - South
Carolina Resident (Michael Kevin Mullen) Sentenced In Alabama for
Fraud in Connection with the Sale of Securities.
- Alabama Securities Commission Warns of Dangers of Lottery and
- Lee County Resident (Thomas Washington Campbell, III) Arrested and Charged With
Alleged Securities Act Violations.
- Former Montgomery County Resident (Darren O'Neal Maull) Sentenced
for Securities Violations.
- California Resident (Peter George Szondy) Enters Guilty Plea for
Alabama Securities Act Violations; Second Man (Louis John Mensonides)
was Extradited to Alabama on Similar Charges.
- Mississippi Resident (George Louis McCaw) Pleads Guilty to
Securities Fraud in Baldwin County.
Shelby County Resident (Lysle John Fleming) Arrested Again for
Alabama Securities Violations.
Hon. Governor Bentley signs proclamation for Alabama Saves Week,
- All Morgan Keegan Bond Fund Investors
One of five charged (Michael David Judd) pled guilty to crime
relating to Synergy Finance Group, LLC.
- TEN-HUT! Updated "Financial Field Manual" for Military Families'
Personal Finances Now Available From Alabama Securities Commission.
- Alabama securities Commission Announces Key Appointments and
- Jefferson County
Woman (Katherine Hope Lane), Michigan Man (Michael W. Pahl Sr.)
Plead Guilty to Alabama Securities Act Violations.
- One Alabama Resident (Ann Forehand), Two Florida Residents (Debra
C. Myers, Lynn Haven) Indicted for Alabama securities Act
Alabama Securities Commission Cautions investors Not to Stumble When
Interest Rates Fall Flat
- Former Blount County Man Pleads Guilty to Alabama Securities Act
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