News Archives - 2013

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12/13/2013 - California Resident (John Childs) Indicted for "Prime Bank" Scheme in Baldwin County.
12/12/2013 - Former Montgomery County Resident (Martin Blane) Indicted for Alleged Securities Violations.
11/27/2013 - Cullman County Resident (Jerry Gibbs Carter) Sentenced for Securities Act Violations.
11/26/2013 - Proposed Bill to Promote Raising Capital for Small Business in Alabama.
11/19/2013 - Lee County Resident (John David Stroud) Begins Ten-Year Prison sentence for Securities Fraud.
11/15/2013 - Canadian Resident (Gregory James Aziz) Arrested for Alleged Securities Fraud.
11/15/2013 - Gregory James Aziz Indictment
10/25/2013 - Two Morgan County Residents (Larry Arthur Coulter and Eddie DeWayne Raines) Enter Securities Fraud-Related Pleas.
10/24/2013 - Conecuh County Resident (Carey Stinson Salter) Arrested for Alleged Securities Fraud.
10/15/2013 - Alabama Securities Commission Expands Annual Top Investor Threats List.
09/19/2013 - Securities Commission Partners with Financial Planning Association to Promote Sound financial Planning.
08/23/2013 - Lee County Resident (John David Stroud) Pleads Guilty to Securities Fraud charges.
08/22/2013 - Birmingham Physician (Dr. Scott William Naley) Sentenced for Securities Violations.
08/19/2013 - Alabama Securities Commission Welcomes New Commissioner and Recognizes Contributions of Former Member.
08/02/2013 - Dothan Resident (Edward Lincoln Forehand) Sentenced to 90 Months for Securities Fraud Scheme.
07/19/2013 - Montgomery County Resident (Reuben max Burrow) Arrested for Securities Act Violations.
06/17/2013 - Alabama Securities Commission Cautions Investors to be Wary of Speculative Energy investments
06/17/2013 - What are the Common ways Energy investment Products may be Offered?
05/30/2013 - Birmingham Area Physician (Dr. Scott William Naley) Pleads Guilty to Securities Fraud in Jefferson County Circuit Court
05/28/2013 - Alabama Securities Commission Announces Restitution Payments to Victims of Advance-Fee Loan Scam Related to
                     Synergy Finance Group, LLC
05/20/2013 - Alabama Securities Commission Releases Report on Investment Adviser Switch
05/13/2013 - Florida Resident (James Leonard Craft) Sentenced in Cullman County for securities Fraud.
04/13/2013 - Dothan Resident (Edward Lincoln Forehand) convicted in Securities Fraud Scheme.
04/13/2013 - Texas Resident (Chinagozi Nwankwo) Arrested for Alleged Violations of Alabama Securities Act
04/11/2013 - United Nations Commission on International Trade Law Invites Alabama Securities Director to Attend Meeting of Experts on
                     International Commercial Fraud in Vienna (UNO City), Austria
04/11/2013 - Jefferson County Resident (Deborah Faye Escott Lumpkin) Pleads Guilty to Securities Act Violation
04/02/2013 - ALERT - Alabama Securities Commission Issues Investor Advisory on Private Placement Offerings.
04/02/2013 - ALERT - Are You An Informed Investor - Private Placement Offerings
03/28/2013 - Securities Commission announces Grant Funded Financial Education Programs for Alabama Employees
03/25/2013 - Alabama Joins In National “Facts On Saving and Investing” Investor Education Initiative
03/14/2013 - Alabama Securities Commission Issues Cease and Desist Order for British-Based Profitable Sunrise.
03/05/2013 - ALERT - Alabama Investors Cautioned About Possible Fraud Tied to Foreign-based Unregistered Investment Contracts.
02/26/2013 - Alabama Securities Commission Appoints Kim Lewis New Senior Special Agent.
02/05/2013 - Securities Commission Announces Grant Funded Financial Education Programs for Alabama Employees.
01/23/2013 - Hoover Resident (Spero X. Vourliotis) Gets Ten Years for Securities Fraud Scheme.
01/14/2013 - Scott Alan Frye, Who Fled to Philippines, Receives Additional Sentence for Securities Violations.
01/07/2013 - Massachusetts Resident (Sean H. McKinney) Arrested in Jefferson County for Securities Act Violations.

 


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