12/26/2012
- Two Investment Fraud Con Men (Patrick Daleiden and Bruce Mabey)
Sentenced to Prison
12/19/2012 -
Order of the Commission - Provision for the Implementation of
Performance Fees
12/19/2012
- Former California Resident (Frederick Tayton Dencer) Arrested
in Mexico on Fugitive Warrant; Faces Extradition to Alabama to Face
Charges Related to Securities Act Violations.
12/14/2012
- Florida, Utah Men (Patrick Michael Daleiden and Bruce J. Mabey)
Enter Guilty Pleas to Securities Violations in Choctaw County,
Alabama.
12/11/2012
- Lee County Resident (Thomas Washington Campbell, III) Denied
Probation After Guilty Plea to Securities Charges.
12/03/2012
- Former Shelby County Resident (Lysle John Fleming), Previously
Arrested for Securities Violations, Has Bond Revoked.
12/03/2012 - Florida, Utah and Alabama Men (Patrick Michael
Daleiden, Bruce J. Mabey, Matthew Arnold Gibson) Pled Guilty to
Securities Violations in
Madison County, Alabama.
12/01/2012
- Baldwin County Resident (Richard James Tucker) Ordered to Pay
$2.02 Million in Restitution to Victims of Advance-Fee Loan Scam.
11/30/2012
- Cullman County Resident (Jerry Gibbs Carter) Arrested in
Florida for Securities Violations.
11/07/2012
- Joseph Borg Joins National White Collar Crime Center As
Non-Regional Board Director.
11/06/2012
- Alabamians Begin Receiving 5,837 Checks Totaling Over
$14,200,000.00 from Morgan Keegan States' Fund Settlement.
11/02/2012
- Morgan Keegan States' Fund Settlement Checks to be Distributed
November 5, 2012.
10/31/2012
- Alabama Securities Commission Warns Investors to Watch for
Sandy-Related Schemes.
10/23/2012
- Alabama Securities Commission Senior Special Agent Retires
With Distinction.
10/05/2012
- Lee County Resident (Thomas Washington Campbell, III) Pleads
Guilty to Securities Fraud.
10/02/2012
- Commissioner Hart Elected to Serve as Chairman of the Alabama
Securities Commission.
09/29/2012
- Utah Resident (Bruce Mabey) Pleads Guilty to Choctaw County
Investment Scam.
09/27/2012
- Minnesota Resident (Kevin Douglas Vickers) Arrested for
Alleged Jefferson County Securities Violations.
09/27/2012
- Two Jefferson County Residents (Spero X. Vourliotis and Carey
Michael Billingsley) Enter Guilty Pleas Related to Unregistered
Investment
Clubs.
09/24/2012
- Alabama Securities Commission Welcomes New Commissioners and
Recognizes Contributions of Former Members.
09/24/2012
- Dothan Resident (Edward Lincoln Forehand) Indicted in
Securities Fraud Scheme.
09/24/2012
- IARD System Fee Waiver for Investment Adviser Firms Remains
While Reduced System Fees Reinstated for Investment Adviser
Representatives.
09/20/2012
- Florida Resident (Patrick Daleiden) Pleads Guilty to Choctaw
County Investment Scam.
08/24/2012
- Jefferson County Resident (Jack Melvin Glover) Arrested for
Alleged Securities Violations.
08/21/2012
- Laws Provide Con Artists with Personal Economic Growth Plan.
Alabama Securities Commission Identifies Emerging and Persistent
Investor Threats.
08/15/2012
- Florida Resident (James Leonard Craft) Pleads Guilty to
Securities Fraud in Cullman County.
08/10/2012
- Madison County Resident (Harry H. "Woody" Duncan) Sentenced on
Securities Fraud Charge.
07/16/2012
- California Resident (Louis John Mensonides) Sentenced for
Conspiracy to Sell Unregistered Securities.
06/15/2012
- Utah Resident (Bruce Jonathan Mabey) and Florida Resident
(Patrick Michael Daleiden) Arrested as a Result of Choctaw County
Indictments Alleging Illegal Investment Activities.
06/11/2012
- Jefferson County Indictments Allege Illegal Activities
Surrounding Investment Clubs.
05/29/2012
- Baldwin County Resident (Richard James Tucker) Sentenced for
Securities Violations Related to Synergy Finance Group, LLC.
05/23/2012
- Deadline to Claim Money from the Region's Morgan Keegan Bond
Settlement.
05/25/2012
- California Man Pleads Guilty to Conspiracy to Sell
Unregistered Securities.
05/18/2012
- Lee County Resident (John David Stroud) Arrested in Baldwin
County for Alleged Securities Violations.
05/15/2012
- Alabama Securities Commission Warns of Potential Dangers of
Crowdfunding Investment Opportunities.
05/04/2012 -
Baldwin County Resident (Richard James Tucker) Convicted for
Securities Act Violations Related to Synergy Finance Group, LLC.
04/24/2012 - South
Carolina Resident (Michael Kevin Mullen) Sentenced In Alabama for
Fraud in Connection with the Sale of Securities.
04/11/2012
-
ALERT
- Alabama Securities Commission Warns of Dangers of Lottery and
Sweepstakes Scams.
04/04/2012
- Lee County Resident (Thomas Washington Campbell, III) Arrested and Charged With
Alleged Securities Act Violations.
03/27/2012
- Former Montgomery County Resident (Darren O'Neal Maull) Sentenced
for Securities Violations.
03/05/2012
- California Resident (Peter George Szondy) Enters Guilty Plea for
Alabama Securities Act Violations; Second Man (Louis John Mensonides)
was Extradited to Alabama on Similar Charges.
02/28/2012
- Mississippi Resident (George Louis McCaw) Pleads Guilty to
Securities Fraud in Baldwin County.
02/24/2012
-
Shelby County Resident (Lysle John Fleming) Arrested Again for
Alabama Securities Violations.
02/22/2012
-
Hon. Governor Bentley signs proclamation for Alabama Saves Week,
Feb. 19-26.
02/21/2012 -
ALERT
- All Morgan Keegan Bond Fund Investors
02/17/2012 -
One of five charged (Michael David Judd) pled guilty to crime
relating to Synergy Finance Group, LLC.
02/10/2012
- TEN-HUT! Updated "Financial Field Manual" for Military Families'
Personal Finances Now Available From Alabama Securities Commission.
02/06/2012
- Alabama securities Commission Announces Key Appointments and
Administrative Changes.
02/06/2012
- Jefferson County
Woman (Katherine Hope Lane), Michigan Man (Michael W. Pahl Sr.)
Plead Guilty to Alabama Securities Act Violations.
02/06/2012
- One Alabama Resident (Ann Forehand), Two Florida Residents (Debra
C. Myers, Lynn Haven) Indicted for Alabama securities Act
Violations.
02/01/2012 -
Alabama Securities Commission Cautions investors Not to Stumble When
Interest Rates Fall Flat
01/24/2012
- Former Blount County Man Pleads Guilty to Alabama Securities Act
Violations.
For comments and/or suggestions contact
Education and Public Affairs Manager at:
dlord@asc.alabama.gov
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