News Archives - 2008

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12/30/2008 - Alabama Securities Commission Announces Key Appointments and Administrative Changes
12/12/2008 - Joseph Borg Appointed to Represent International Securities Organization as Ombudsman and Chair of International Committee.
12/11/2008 - NASAA’s Financial Services Regulatory Reform Roundtable press conference and webcast in Washington D.C.
12/09/2008 - Former Bessemer Revenue Director, Ryan Rancher, Pleads Guilty to Violations of Alabama Securities Act
11/26/2008 - Jefferson County Man Arrested for Alleged Violations of Alabama Securities Act
11/24/2008 - Regulatory Reform: A Multi-layered Approach
11/24/2008 - Feeling the Squeeze: Alabama Securities Commission Offers Sandwich Generation Relief
11/14/2008 - Houston County Man (Edmondson) Arrested for Alleged Violations of Alabama Securities Act
11/10/2008 - Securities Director Reminds Auction Rate Securities Investors to Contact Firms About Buyback Offers
11/03/2008 - State Official Invited to Present at Corporate Governance Conference in Taiwan
10/31/2008 - Alabama Securities Commission Announces IARD System Fee Waiver
10/29/2008 - Hawaii Man Arrested for Alleged Violations of Alabama Securities Act
10/27/2008 - Sylacauga Man Arrested for Alleged Violations of Alabama Securities Act
10/14/2008 - The Alabama Securities Commission and AARP Team to Offer “Free Lunch Seminar Monitor” Program Older Americans Increasingly
                     Targeted By Financial Scammers.
09/26/2008 - Alabama Investors to Participate in Settlements over the Sale of Auction Rate Securities.
09/25/2008 - State Agencies Warn about Internet Lottery and Sweepstake Scams
09/25/2008 - The Alabama Securities Commission Cautions Main Street Investors Against Making Uninformed, Sudden Decisions Amid Wall Street
                      Crisis
09/24/2008 - Opelika Man, Michael James Dixon, Indicted by Lee County Grand Jury for Alleged Violations of Alabama Securities Act
08/20/2008 - Ronald Dover Holland Enters Guilty Plea for Violations of Alabama Securities Act
08/18/2008 - Former SEC Chairman to Assist Alabama Securities Commission in Short Selling Investigation
07/14/2008 - Lee County Man, Michael James Dixon, Arrested for Alleged Violations of Alabama Securities Law
07/07/2008 - Alabama Securities Commission Proposes Rule Prohibiting Misleading Professional Designations Aimed at Senior Investors
07/07/2008 - Alabama Securities Commission Welcomes New Commissioners
06/17/2008 - Alabama Securities Commission Identifies Traps Likely to Burn Investors this Summer
05/28/2008 - Madison County Man, Hunter Brown Daniel, Jr., is Indicted for Alleged Violations of Alabama Securities Law
05/28/2008 - James F. Fitch Sentenced for Violations of Alabama Securities Act
04/16/2008 - Montgomery Man, Willie Joe Phillips, Enters Plea for Violations of Alabama Securities Act
04/13/2008 - ASC Director on National NBC Dateline hidden camera investigation
04/10/2008 - Joseph Borg, Delegate to United Nations Committee that Receives Special Recognition
04/07/2008 - Tuscaloosa County Man, Howard Jackson Cleveland, Jr., is Indicted for Alleged Violations of Alabama Securities Law
04/01/2008 - IRS and Alabama Securities Commission Warn of Top 10 Scams
03/25/2008 - ASC, NASAA, SIPC Offer Answers to Investors Concerned About the Safety of Their Brokerage Accounts
03/20/2008 - State agencies create Alabama Annuities Task Force
03/12/2008 - Alabama Securities Commission Hosts SEC Chairman and Investor Education Partners
02/15/2008 - DeKalb County Man, James William Griffith, Indicted for Alleged Violations of Alabama Securities Law
02/04/2008 - Three Orange County, California Residents Arrested for Alleged Alabama Securities Law Violations - (Stanley Johnson, Easter Johnson
                     and Natalie Romo).
02/04/2008 - Shelby County Man Arrested for Alleged Violations of Alabama Securities Law - ( Lysle John Fleming, Jr. )
01/07/2008 - Alabama Securities Commission Senior Special Agent Receives National Enforcement Award

 

For comments and/or suggestions contact
Education and Public Affairs Manager at:
dlord@asc.alabama.gov