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12/22/2005 - ASC
Reminds Investors to Do Their Homework Before Investing in 529
College Savings Plans.
12/12/2005 - HOOVER
RESIDENTS ARRESTED AS PART OF INTERNATIONAL SECURITIES SCHEME.
12/12/2005 - Alabama Securities Commission Urges Investors
to Carefully Check Credentials of ‘Senior Specialists’
12/08/2005 - Allison
Creighton pled guilty to Securities Fraud.
11/17/2005 - Securities
Commission Reaches Agreement with Morgan Stanley to Compensate
Birmingham Investors.
11/10/2005 - Securities
Commission Financial Education Manager receives national award for
service to the Investing Public.
11/02/2005 - Dendrick
Atkins charged with 16 counts of Fraud.
10/07/2005 - Alabama
Securities Commission Announces System Fee Waiver & Reduction for
Advisers.
10/06/2005 - ASC
announces promotions and new personnel in the Legal Division.
09/16/2005 - Alabama
Securities Commission works with US Attorney office – results in 5
count indictment against
Randall T. Treadwell, Arnulfo M.
Acosta, Ricky D. Sluder, and Larry
C. Saturday with wire fraud and conspiracy
(Learn
Waterhouse, Inc., Wealth Builders Club, Inc.,
and Qwest
International, Inc)
09/16/2005 - Anthony
Darrell Harris surrenders to the Mobile County Authorities for
alleged involvement in an illegal securities scheme.
09/09/2005 - EMERGENCY ORDER
Due To Hurricane Katrina
09/07/2005 - Securities
and Insurance Regulators from Alabama Join Multi-State Settlement
Against a Kansas City, MS Brokerage and Insurance Firm
(Waddell &
Reed) for an Unsuitable Variable Annuity Exchange Program.
08/22/2005 -
Alert - Alabama Securities Commission Advises Investors to Beware of
Hurricane-Related Scams.
08/22/2005 - Alabama Securities
Commission Spans the Globe
08/15/2005 - Dale
and Shirley Graybill sentenced for involvement in securities scheme.
08/09/2005 -
Joseph P. Borg,
Director of the Alabama Securities Commission, has been elected to
the position of President-elect for the North American
Securities
Administrators Association (NASAA).
08/08/2005 - Alert -
Warning to
Citizens: PIPS, PURE, and PIC have been ordered to Cease and Desist
business in Alabama.
08/05/2005 -
Terry Harris placed in the Montgomery County Detention Facility.
07/28/2005 -
Alert - Commission
Warns Investors to Beware of Phony Regulators - Foreign investors
getting a bad deal, in any language.
05/13/2005 - Alert - Warning to
Alabama Citizens: Angel Construction, Inc., Angel Homes, and Angel
Investments have been ordered to Cease and
Desist Business.
04/28/2005 -
Terry Harris of Birmingham, Alabama Sentenced for violations of the
Alabama Securities Act.
04/13/2005 -
Gwaltney, Downen, and Morice, arrested in Tennessee for alleged
violations of the Alabama Securities Act.
04/06/2005 -
Alabama Joins in National Investor Education Initiative.
03/28/2005 -
Edwin Rick Wood of Millbrook, Alabama Sentenced for Securities Fraud
and Theft of Property.
03/04/2005 - Alert - Warning to Alabama Citizens About Possible Illegal Offer and/or
Sale of Securities by CARUBA INTERNATIONAL, LLC.
and TRADEWIND HOLDING COMPANY
03/01/2005 - Edwin Rick Wood of Millbrook, Alabama Pled Guilty to Securities
Fraud and Theft of Property.
02/28/2005 - Allison Hunt Creighton Arrested for Alleged IRA Securities Scam.
02/25/2005 - Jameka Whatley of Birmingham, Alabama Pled Guilty
to Fraud and Theft in Stock Options Trading Scam.
02/08/2005 -
Alert -
Be on Alert for
Offerings from Premium Income Corp, Tri-Forex
International, LTD and Suspected Key Associates Listed Below.
02/02/2005 -
Frank Ray Johnson and Milton Vaughn of Montgomery, Alabama Arrested
for Alleged Participation in Prime Bank Scheme.
01/27/2005 - Wealth Builders International (WBI) Founder, Terry Harris,
Pleads Guilty
For comments and/or suggestions contact
Education and Public Affairs Manager at:
dlord@asc.alabama.gov
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