Alabama Securities Commission Announces Continuation of IARD System Fee Waiver. Click here to read the full article.

Alabama Securities Director’s Testimony to the U.S. House of Representatives Concerning ‘Modernization’ of SIPC (Manuscript)” Click here to read the […]

“Borg Testifies” Click here to read the full article.

Impact of Financial Regulatory Reform Bill for Investment Advisers and Main Street Investors in Alabama. Click here to read the […]

Baldwin County Resident (Robert James Tucker) Arrested for Multiple Violations of the Alabama Securities Act. Click here to read the […]

Alabama Securities Commission Issues Order Against Company for Alleged Unregistered Stock Sales in Wake of Gulf Oil Spill. Click here […]

Montgomery County Resident (Timothy Grant Jones) Sentenced for Alabama Securities Act Violations. Click here to read the full article.

California Couple (Stanley H. Johnson and Easter L. Johnson) sentenced in Shelby County for Illegal securities Offering. Click here to […]

Alabama Securities Director Nominated to Financial Modernization Task Force. Click here to read the full article.