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12/29/2004 - Carlos
Fernandez from Costa Rica Arrested for Alleged Violations of the
Alabama Securities Act.
12/01/2004 -
Alabama Public Television and the Alabama Securities Commission
Partner to Promote Personal Finance.
11/09/2004 - Wayne
H. Smith of Heflin, Alabama was arrested for alleged violations of the
Alabama Securities Act.
10/29/2004 - Alert - Citizens Beware of
Offers Via Internet from Liberty Assets, Inc. (LAI) & Mondale
Trading and Foreign Shareholder
Protection Department (FSPD)
10/18/2004
- 830-X-3-.05 Statement Of Financial Condition (Proposed
Commission Rule Changes).
10/18/2004
- 830-X-3-.14 Records Required Of Registered Dealers (Proposed
Commission Rule Changes).
10/14/2004
- Cease and Desist issued against Learn Waterhouse Inc.
09/15/2004
- Investor
Alert
- Unregistered Investment Companies Ordered
to Cease and Desist (Raised $160 Million from Religious
Organizations).
08/25/2004
- Alabama to Receive $400,000 in Settlement with Deutsche Bank
Securities and Thomas Weisel Partners
08/13/2004
- Investor
Alert
- OTC Telemarketing Scam
07/28/2004
- Edwin Rick Woods Arrested - Three Hands Construction, LLC
07/28/2004
- Thomas and Inez McCray are Arrested and Bonds Revoked - Health and
Wealth Coop
05/17/2004
- John Mewbourn pleads guilty to 6 counts of sale of unregistered
securities.
04/08/2004
- Joseph Borg Speaks to the United Nations
03/29/2004
- AmSouth Investment Services Assessed $225,000 in Fines and Penalties
by Mississippi and Alabama Regulators
03/25/2004
- Wealth Builders International (BWI) - Terry Harris Arrested
03/24/2004
- Memlock Systems - Dale and Shirley Graybill Arrested
02/17/2004
- Announcing the Economic Crime Alliance of Alabama
01/21/2004
- The Jump $tart Coalition and Other Non-Profit Agencies Receive
Grants to Promote Personal Finance Education in Alabama
01/14/2004
- Daystar - Kelly Vickers Sentenced
For comments and/or suggestions contact
Education and Public Affairs Manager at:
dlord@asc.alabama.gov
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