News Archives - 2018

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12/11/2018 - Insurance Agent, Ronald Warren Powell, Pleads Guilty to Securities and Insurance Fraud in Colbert County
11/26/2018 - Alabama Securities Commission Announces "IARD System Fee Waiver for Investment Adviser Firms Reduced System Fees"
Continued for Investment Adviser Representatives
10/15/2018 - Marijuana-Related Investments: Greener Pastures or Just Another Scam?
10/15/2018 - Alabama Securities Commission Issues Advisory - Marijuana Related Investments
09/24/2018 - California Resident, Vahak Dino Awadisian, Pleads Guilty to Securities Fraud in Baldwin County
09/24/2018 - Alabama Securities Commission Cracks Down on Unregulated Crypto-currency Initial Offerings
09/18/2018 - Watch for Scams in Florence's Wake
08/29/2018 - California Resident, Daniel Scott Register, Pleads Guilty to Securities Fraud
08/28/2018 - Alabama Securities Commission Updates Coordinated Crypto Crackdown
08/22/2018 - Founder of Lee County-Based Company, Kyle Geoffrey Sandler, Convicted of Securities Fraud
08/09/2018 - Alabama Securities Commission Director Borg receives a Liftime Achievement Award from the Alabama Senior Citizens Hall of Fame
08/09/2018 - Morgan County, Alabama Man Indicted for Alleged Theft, Forgery, and Securities Fraud
08/02/2018 - Alleged securities fraud defendant arrested in Moldova, extradited to Baldwin County
07/09/2018 - Alabama Securities Commission Appoints Senn to Deputy Director of Enforcement
06/12/2018 - Alabama Securities Commission Recognizes World Elder Abuse Awareness Day June 15
05/21/2018 - Alabama Securities Commission Participates in Coordinated International Crypto Crackdown
05/07/2018 - Arizona Man Sentenced for Securities Fraud in Tuscaloosa County
05/02/2018 - Secretary Galvin and Alabama Director Borg announce 26 Million Dollar Settlement with LPL Financial
04/25/2018 - Former Financial Advisor, Derek Neal York, Sentenced to Prison for Securities Fraud
04/24/2018 - Governor Ivey proclaims April 2018 as Facts on Saving and Investing Campaign Month
04/06/2018 - Colbert County Man Arrested for Alleged Securities Fraud and Financial Exploitation of the Elderly
03/20/2018 - DreamVision Promoter Pleads Guilty to Securities Fraud
03/07/2018 - INFORMED INVESTOR ADVISORY - Are Unicorns a Myth?
01/12/2018 - Alabama Securities Commission Appoints Acting Deputy Director and Announces New Chief Litigation Counsel


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