12/15/2006
- Christopher Croft Arrested for Alleged Violations of
the Alabama Securities Act.
12/13/2006
- Advanced Fee Scam Offers to Buy Shares of
"Underperforming" or Worthless Securities at a High Price.
12/12/2006
- State Securities Regulators Report Increases in
Enforcement Actions, Money Ordered Returned to Investors & Years of
Incarceration for
Securities Law Violations.
10/27/2006
- Alabama Securities Commission Announces Continuation of
IARD System Fee Waiver.
10/24/2006
- Harris Ordered to Pay Almost a Million Dollars in
Restitution to Victims.
10/11/2006
- Lamonica Plea and Sentence.
09/19/2006
-
Joseph P. Borg elected to head international securities
organization.
08/22/2006
- Anthony Darrell Harris Sentenced 18 Months for
Securities Fraud.
07/28/2006
- Dendrick Atkins Pled Guilty to Three Counts for
Violation of the Alabama Securities Act and Theft of Property.
07/25/2006 - Alabama Top Securities Regulator - Letter of Concern
07/05/2006 - Alabama to Receive Over $300,000 in Wachovia
Settlement.
06/16/2006 -
Alert - Watch Out For These Five Investor Traps "NOW"
05/16/2006 -
ASC to join SEC in new Alabama campaign to protect Senior investors.
05/01/2006 -
Alabama Securities Commission Partners with IRS to Share Bank
Secrecy Act Information.
04/12/2006 -
Alabama Securities Commission Appoints New Senior Special Agent.
03/20/2006 - Alert – Five scams to watch out for now!
03/14/2006 -
Survey Finds Most
Investors Lack Critical Survival Skills
03/06/2006 -
Investor Warning from North Carolina and Alabama - Auto Surf "May be
a new Ponzi Scheme".
02/16/2006 -
ASC Releases “Unlucky 13” List of Investor Traps for 2006.
02/13/2006 - Mobile Couple (Thomas and Inez McCray) Pled Guilty
to Violations of Alabama Securities Act.
01/24/2006 -
Hoover Resident Arrested Again For Alledged
Involvement in an International Securities Scheme.
01/23/2006 -
Mervish and Pier
Arrested in Miami, will be Extradited to Alabama for Alleged
Securities Fraud.
01/10/2006 - Alabamians Beware of Tax Related Investment
Opportunities
For comments and/or suggestions contact
Education and Public Affairs Manager at:
dlord@asc.alabama.gov
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