Allison Creighton pled guilty to Securities Fraud. Click Here to read the full article.

Securities Commission Reaches Agreement with Morgan Stanley to Compensate Birmingham Investors. Click Here to read the full article.

Securities Commission Financial Education Manager receives national award for service to the Investing Public. Click Here to read the full […]

Dendrick Atkins charged with 16 counts of Fraud. Click here to read the full article.  

Alabama Securities Commission Announces System Fee Waiver & Reduction for Advisers. Click Here to read the full article.

ASC announces promotions and new personnel in the Legal Division. Click here to read the full article.

Anthony Darrell Harris surrenders to the Mobile County Authorities for alleged involvement in an illegal securities scheme. Click Here to […]

Alabama Securities Commission works with US Attorney office – results in 5 count indictment against Randall T. Treadwell, Arnulfo M. […]

Securities and Insurance Regulators from Alabama Join Multi-State Settlement Against a Kansas City, MS Brokerage and Insurance Firm (Waddell & […]