News Archives - 2011

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12/15/2011 - IRS and Alabama Securities Commission Warn of Common Scams.
11/23/2011 - Madison County Resident (Harry H. "Woody" Duncan) Arrested for Multiple Alabama Securities Act Violations.
11/22/2011 - California Resident (Louis John Mensonides) Arrested for Alleged Alabama Securities Violations and Awaits Extradition.
11/22/2011 - Mobile County Resident (Ramon Antonio Richardson) Pled Guilty to Securities Fraud.
11/08/2011 - Helping to Stop Elderly Fraud Cold:  Alabama Securities Commission, Doctors, Financial Planners, Others to Launch Hotline November
                     10th to Fight Swindlers Targeting Older Alabama Residents.
10/28/2011 - Federal and State Regulators Appoint Administrator to Return $200 Million to Investors.
10/14/2011 - Two Men Arrested and Face Charges in Etowah County for Violations of the Alabama Securities Act.
09/27/2011 - California Resident (James A. Vita) Pleads Guilty to Securities Fraud in Limestone County Circuit Court.
09/16/2011 - Alabama Securities Commission Announces IARD System Fee Waiver
09/16/2011 - Alabama Securities Commission Announces Settlement with Raymond James Related to Auction Rate Securities Investigation.
09/09/2011 - Cheryl Baswell-Guthrie was Arrested in Michigan on Madison County Warrant for Alleged Violations of the Alabama Securities Act.
09/07/2011 - ALERT -  Alabama Securities Commission Cautions Investors About Social Networking Fraud.  Social Networking Alert
08/26/2011 - Former FBI Agent and Attorney Sentenced to 20 Years for Violations of the Alabama Securities Act.
08/23/2011 - ALERT - Cons Find Profit in Get-Rich-Quick Schemes Tied to Economic Uncertainty.
07/27/2011 - Jefferson County Resident (Cary Alan Burdette) Convicted for Securities Act Violations.
07/14/2011 - Former Dallas County Resident (Jerome Yelder) Arrested in South Carolina for Securities Violations in Alabama.
07/14/2011 - Former Montgomery County Resident (Darren O'Neal Maull) Arrested for Securities Violations.
07/14/2011 - Mobile County Resident (John Craig Dickson) Sentenced for Alabama Securities Act Violations
07/05/2011 - Restitution Ordered for Tuscaloosa County Resident (Gene Thomas "Tommy" LeGrone Jr.) Convicted for Securities Fraud.
07/01/2011 - Former Ozark Resident (Sam J. Carrol III) Pleads Guilty to Alabama Securities Act Violations.
06/22/2011 - Morgan Keegan and Morgan Asset Management agree to $200 Million Settlement with State and Federal Regulators.
06/03/2011 - Alabama Securities Commission Investigating Possible Ponzi scheme Involving Cornerstone Investment Group.
05/24/2011 - Mobile County Resident (John Craig Dickson) Convicted for Violations of Alabama Securities Act .
05/17/2011 - Etowah County Resident (William W. Bush) Pleads Guilty to Alabama Securities Act Violations.
05/17/2011 - Coffee County Securities Fraud Trial Leads to Prison Sentence for Scott Alan Frye.
05/13/2011 - ALERT - Beware of investment Scams Spawned From Disasters.
05/10/2011 - Kieffer Pled Guilty to Violation of the Alabama Securities Act.
04/18/2011 - Scott Alan Frye, Who Fled to the Philippines, is Convicted of Securities Violations in Coffee County.
04/15/2011 - Louisiana Resident (Michael Kieffer) Arrested for Alabama Securities Act Violations Related to Baldwin County, Alabama Construction
                     Project.
04/04/2011 - Alabama Securities Commission secures Fifth Arrest Related to Synergy Finance Group, LLC
03/22/2011 - Terry Harris Sentenced to 25 years for Violations of the Alabama Securities Act
03/07/2011 - Jefferson County Resident (Deborah Faye Escott Lumpkin) Arrested for Alleged Violations of Alabama Securities Act.
02/14/2011 - The Alabama Securities Commission Helps Prospective Entrepreneurs Evaluate Franchise Opportunities.
02/10/2011 - Alabama Securities Commission Obtains Three Additional Arrests Related to Synergy Finance Group, LLC
02/10/2011 - Former Autauga County Resident (Jack Deck Weight, III) Sentenced Again in Pike County for Alabama Securities Act Violations
02/08/2011 - Terry Harris, Found Guilty of Securities Act Violations in Jefferson County Circuit Court.
01/24/2011 - Mississippi Resident (George Louis McCaw) Arrested for Violations of Alabama Securities Act.
 

 


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Education and Public Affairs Manager at:
dlord@asc.alabama.gov