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News Releases for 2012 

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.
01/24/2012 - Former Blount County Man Pleads Guilty to Alabama Securities Act Violations.
02/01/2012 - Alabama Securities Commission Cautions investors Not to Stumble When Interest Rates Fall Flat

 


For comments and/or suggestions contact
Education and Public Affairs Manager at:

dlord@asc.alabama.gov