News Archives - 2010
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12/13/2010 - Alabama Securities Commission Helps Investors Assess Risks of Peer-To-Peer Lending.
12/04/2010 - Kentucky Resident (William Louis Moore) Pled Guilty to Alleged Violation of the Alabama Securities Act.
12/03/2010 - Ozark Resident (Sam J. Carroll III) Arrested in Coffee County for Alleged Violations of Alabama Securities Act.
11/17/2010 - To Better Protect Older State Residents, the Alabama Securities Commission Joins Nationwide "Elder Investment Fraud and Financial
Exploitation Prevention Program".
11/18/2010 - Florida Resident (Patrick Michael Daleiden) Arrested for Alleged Alabama Securities Act Violations.
11/17/2010 - California Man (Frederick Tayton Dencer) Surrenders to Alabama Authorities for Alabama Securities Act Violations.
11/15/2010 - Former Autauga County Resident (Jack Deck Weight, III) Indicted, Arrested for Alabama Securities Act Violations.
11/03/2010 - Jefferson County Resident (Kyle Andrew Hiers) Indicted, Arrested for Alleged Violations of Alabama Securities Act.
11/01/2010 - Kentucky Residents (Gary Byron Hogan and William Louis Moore) Indicted, Arrested for Alleged Violations of Alabama Securities Act.
10/27/2010 - California Resident Arrested, Charged with Alleged Violations of Alabama Securities Act.
10/20/2010 - ALERT - Beware of Gold-Related investments.
10/12/2010 - Houston County Resident (Robert Edmondson) Pleads Guilty and is Sentenced for Securities Act Violations.
10/08/2010 - Alabama Securities Commission Announces Continuation of IARD System Fee Waiver.
09/23/2010 - "Borg Testifies"
09/23/2010 - Alabama Securities Director's Testimony to the U.S. House of Representatives Concerning 'Modernization' of SIPC (Manuscript)"
09/17/2010 - Impact of Financial Regulatory Reform Bill for Investment Advisers and Main Street Investors in Alabama.
08/03/2010 - Alabama Securities Commission Identifies Top investor Traps
07/19/2010 - Baldwin County Resident (Robert James Tucker) Arrested for Multiple Violations of the Alabama Securities Act.
07/09/2010 - Alabama Securities Commission Issues Order Against Company for Alleged Unregistered Stock Sales in Wake of Gulf Oil Spill.
06/18/2010 - Montgomery County Resident (Timothy Grant Jones) Sentenced for Alabama Securities Act Violations.
06/17/2010 - California Couple (Stanley H. Johnson and Easter L. Johnson) sentenced in Shelby County for Illegal securities Offering.
06/09/2010 - Alabama Securities Director Nominated to Financial Modernization Task Force.
05/20/2010 - California Residents (Randy Morton and Candice Lynn Lewis) Sentenced for Alabama Securities Act Violations.
05/17/2010 - Jefferson County Investment Adviser (Andrew D. Petrofsky) Pleads Guilty to Violation of Alabama Securities Act.
05/11/2010 - Montgomery County Resident (Timothy Grant Jones) Pleads Guilty to Multiple Violations of Alabama Securities Act.
05/11/2010 - Former Blount County Resident (David Ray Pinyan) Arrested for Violations of the Alabama Securities Act.
04/28/2010 - Mobile County Resident (John Craig Dickson) Arrested for Alleged Violations of the Alabama Securities Act.
04/27/2010 - Madison County Resident (Matthew Arnold Gibson) Arrested for Alleged Violations of the Alabama Securities Act.
04/07/2010 - State Securities Regulators File Action Against Morgan Keegan
04/01/2010 - Investors Receive securities settlement from American General Securities, Inc.
03/15/2010 - Scottsdale, Arizona Resident (Gene Grobstein) Sentenced in Talladega County for Alabama Securities Act Violations.
03/10/2010 - Virginia Resident Rudolph A. Polson is Ordered to Pay Restitution for Violation of the Alabama Securities Act.
03/04/2010 - Tuscaloosa County Resident (Gene Thomas "Tommy" LeGrone Jr.) Pleads Guilty and Sentenced for Multiple Violations of Alabama
Securities Act.
02/24/2010 - Attorney General, Securities Commission Obtain Order for Permanent Shutdown of One of the Largest Debt settlement Schemes in the
Nation.
01/14/2010 - Madison County Resident (Mark Edward Doering) Arrested for Alleged Violations of Alabama Securities Act.
01/28/2010 - Arizona Resident (Gene Grobstein) Pleads Guilty to Violations of Alabama Securities Act.
01/28/2010 - Virginia Resident (Rudolph A. Polson) Pleads Guilty to Violations of Alabama Securities Act.
For comments and/or suggestions contact
Education and Public Affairs Manager at:
Nick.Vonderau@ASC.Alabama.gov
