News Archives - 2015

2015 | 2014 | 2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001

12/10/2015 - INVESTOR ALERT - Third-Party Asset Recovery Companies: Are They Advocating For You?
12/10/2015 - INVESTOR ALERT - Alabama Securities Commission Cautions Fraud Victims About Third-Party Asset Recovery Firms
11/16/2015 - California Man (Joseph P. Tufo) Pled Guilty to Alabama Securities Violations
11/09/2015 - Alabama Securities Commission Cautions Investors to be Wary of 'The Next Big Thing' When it Comes to Investing
11/09/2015 - Are You an Informed Investor? The Next Big Thing
11/03/2015 - Alabama Securities Commission Announces IARD System Fee Waiver for Investment Adviser Firms
10/20/2015 - California Man (Daniel Scott Register) Arrested for Alleged Outstanding Alabama Securities Violations
10/21/2015 - Texas Man (Richard Waskom) Pleads Guilty to Sale of Unregistered Securities in Jefferson County, AL Circuit Court
10/02/2015 - Mobile County Man (Richard James Tucker) Arrested for Alleged Securities Violations
09/24/2015 - Louisiana (Bruce Alexander Gwyn) and Alabama (James Anthony Ghio) Men Arrested in Baldwin County for Alleged
                     Violations of Alabama Securities Act
09/09/2015 - Hoover Man (Kevin Jerome Brown) Pleads Guilty to Securities Fraud Charges
07/22/2015 - Former Cypress Creek CEO (James Albert Lawhorne, Jr) Pleads Guilty to Securities Fraud
06/29/2015 - Baldwin County Man (Henry Young) Pled Guilty to Involvement in Prime Bank Scheme
06/22/2015 - Madison County, Alabama Man Arrested for Mutliple Counts of Securities Fraud, Court Sets $2 Million Bond
06/22/2015 - Houtson, Texas Man (Mark E. Rodgers) Pleads Guilty to Securities Fraud
05/20/2015 - Etowah County, Alabama Man (Derek Neal York) Indicted for Alleged Securities Violations
05/17/2015 - Commissioner Hart of the Alabama Securities Commission is Reappointed by Governor Bentley and Confirmed by the
                     Alabama Senate
05/17/2015 - Alabama Securities Commission Legal Staff Help Intercept Felon’s Assets, Reroute Money to his Victims
04/15/2015 - Former Atlanta, Georgia Attorney (Hendrickx Toussaint) Pleads Guilty to Alabama Securities Act Violations
04/06/2015 - Winfield Alabama Man (Timothy Lowell Franks) Arrested for Alleged Alabama Securities Act Violations
04/03/2015 - Synergy Finance Group Co-Conspirator (Scott Anthony Koster) Enters Guilty Plea of Conspiracy to Commit Securities
                     Violations in Baldwin County, Alabama Circuit Court
04/01/2015 - Alabama Joins in National "Facts on Saving and Investing" Investor Education Initiative. Governor Bentley signs Proclamation.
03/18/2015 - Madison County, Alabama Man, Richard David Hall, Pleads Guilty to Securities Violation
03/16/2015 - Florida Man Sentenced for Securities Fraud in Montgomery County.
02/24/2015 - Former Houston County, Alabama Attorney (Frederick Mitchell "Mitch" McNab) Sentenced for Securities Violations
01/28/2015 - Florida Man (William Chris Blane) Pled Guilty to Securities Fraud in Montgomery County, Alabama
01/28/2015 - INVESTOR ALERT - Alabama Securities Commission Reminds Investors to Discuss Cybersecurity with Their Financial
                     Professionals.

 


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