Skip to content
Alabama Securities Commission

Alabama Securities Commission

  • About
    • Director
    • Mission
  • For Industry
    • Financial Exploitation Reporting
    • Auditing
    • Enforcement
    • Financial Innovation
    • Registration
    • Statutes, Regulations, & Policy Statements
  • For Investors
    • Broker Check
    • Enforcement
    • Investor Education
    • Military Communities
    • Military Resource Websites
    • She Can
    • Presentation Request
    • Podcasts
    • Websites for Investors
  • Press Room
    • News Releases
    • Investor Alerts
    • Annual Reports
    • Legislative Reports
    • Newsletters
  • Complaints
  • Contact Us

Category: News

  • Home
  • News

Alabama Securities Commission Highlights Consumer Protection Week

March 8, 2022November 8, 2023 cnoftz

Alabama Securities Commission Highlights Consumer Protection Week. Click Here to read the full article.

News

The Alabama Securities Commission issues a Policy Statement regarding Investment Advisors, Broker-Dealers related to exploitation of a vulnerable person

March 7, 2022November 8, 2023 cnoftz

The Alabama Securities Commission issues a Policy Statement regarding Investment Advisors, Broker-Dealers and qualified individuals may place a hold on […]

News

The Alabama Securities Commission Orders Bitminer Pro and Joel Williams to Cease Investment Activity in Alabama

February 16, 2022November 8, 2023 cnoftz

The Alabama Securities Commission Orders Bitminer Pro and Joel Williams to Cease Investment Activity in Alabama. Click Here to read […]

News

ASC Joins with Other State Regulators to Settle with Digital Asset Lending Platform BlockFi for $50 Million for Sales of Unregistered Securities

February 14, 2022November 8, 2023 cnoftz

ASC Joins with Other State Regulators to Settle with Digital Asset Lending Platform BlockFi for $50 Million for Sales of […]

News

Alabama Securities Commission Cautions Residents About Looking for Love in All the Wrong Places

February 10, 2022March 28, 2024 cnoftz

Alabama Securities Commission Cautions Residents About Looking for Love in All the Wrong Places. Click Here to read the full […]

News Romance Scams

Alabama Securities Commission Partners with CFTC and 26 State Securities Regulators to Stop $68 Million Precious Metals Scheme

February 1, 2022March 28, 2024 cnoftz

Alabama Securities Commission Partners with CFTC and 26 State Securities Regulators to Stop $68 Million Precious Metals Scheme. Click Here […]

News Commodities

Alabama Securities Commission Announces Top Investor Threats for 2022

January 10, 2022November 8, 2023 cnoftz

Alabama Securities Commission Announces Top Investor Threats for 2022. Click Here to read the full article.

News

Promises, Promises … Hoover Resident Promises Big Returns on Bank Investment but Leaves Investor Empty Handed

January 7, 2022March 28, 2024 cnoftz

Promises, Promises … Hoover Resident Promises Big Returns on Bank Investment but Leaves Investor Empty Handed. Click Here to read […]

News Imposter Scam, Promissory Notes

Former Sheriff Deputy from Limestone County Guilty of Financial Exploitation of the Elderly

December 17, 2021March 28, 2024 cnoftz

Former Sheriff Deputy from Limestone County Guilty of Financial Exploitation of the Elderly. Click Here to read the full article.

News Financial Exploitation

The Grinch Isn’t the Only One Looking to Spoil Your Holiday Cheer – 5 Tips to Protect Yourself from Sneaky Scamsters

December 10, 2021November 15, 2023 cnoftz

The Grinch Isn’t the Only One Looking to Spoil Your Holiday Cheer – 5 Tips to Protect Yourself from Sneaky […]

Investor Alerts, News

Posts navigation

Older posts
Newer posts

Archives

Categories

ALABAMA SECURITIES COMMISSION
445 DEXTER AVENUE
SUITE 12000
MONTGOMERY, AL 36104
Phone: 1-800-222-1253 / (334) 242-2984
Fax: (334) 242-0240

  • Public Records
  • Contact Us
  • Employee Login

Copyright © 2026 Alabama Securities Commission All rights reserved. Theme: Flash Pro by ThemeGrill. Powered by WordPress