2023 | 2022 | 2021 | 2020 | 2019 | 2018 | 2017 | 2016 | 2015 | 2014 | 2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001

12/05/2016 - South Carolina Man (Michael Wallace Fullard) Arrested for Alabama Securities Act Violations
12/01/2016 - Jefferson County Man (Casey Lance) Arrested for Alleged Violations of the Alabama Securities Act
10/03/2016 - California Resident (Deshaun Williams) Pleads Guilty to Securities Violations in Baldwin County, Alabama
09/19/2016 - Talladega County, Alabama Man (Jason Todd Caudle) Pleads Guilty to Securities Fraud
08/29/2016 - INVESTOR ALERT - EB-5 Fraud: Immigrant Investors Beware
07/13/2016 - When I'm 65 Documentary About Saving and Investing for Retriement to Air July 17th on APT
07/06/2016 - Banks, Alabama Man (Terry Earl Hester) Indicted for Alleged Securities Fraud
06/28/2016 - Arizona Man (James Friend Liebes) Indicted for Alleged Securities Fraud in Tuscaloosa County
06/15/2016 - Alabama Securities Commission Recognizes World Elder Abuse Awareness Day by Asking Citizens to Watch for Signs of Elder
                     Financial Exploitation
05/27/2016 - Troy Man (Jesse Morgan Hinson) Pleads Guilty to Securities Fraud Charges
05/26/2016 - Madison County, Alabama Man (Keith Michael Rogers) Guilty of Securities Fraud Sentenced
05/17/2016 - Alabama Securities Commission Reaches Settlement with LPL Financial: Firm Agrees to Return Alabama Investors’ Money for
                     Inappropriate Real Estate Investment Sales
04/20/2016 - Talladega County, Alabama Man (Jason Todd Caudle) Indicted for Alleged Securities Fraud
04/18/2016 - Alabama Legislature Passes Bill To Help Protect Vulnerable Adults From Financial Exploitation-Governor Bentley Signs Into Law
04/12/2016 - Lousiana Man (Bruce Alexander Gwyn) Arrested for Second Time for Alleged Violations of Alabama Securities Act
04/06/2016 - "When I'm 65", an hour-long documentary focusing on saving and investing for retirement, to air on Alabama Public Television
                     on 04/10/2016 at 6pm
04/01/2016 - Man Indicted in Baldwin County in 2013 (Deshaun Williams), Apprehended and Arrested in Palmdale, California
03/08/2016 - Madison County, Alabama Man (Keith Michael Rogers) Enters Guilty Plea for Fraud Scheme
03/04/2016 - Alabama Securities Commission Assists Italian Law Enforcement, Leading to Six Arrests for Worldwide Prime Bank and High
                     Yield Investment Fraud

 

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For comments and/or suggestions contact
Education and Public Affairs Manager at:
Nick.Vonderau@ASC.Alabama.gov