Alabamians Begin Receiving 5,837 Checks Totaling Over $14,200,000.00 from Morgan Keegan States’ Fund Settlement. Click here to read the full […]

Morgan Keegan States’ Fund Settlement Checks to be Distributed November 5, 2012. Click here to read the full article.

Alabama Securities Commission Warns Investors to Watch for Sandy-Related Schemes. Click here to read the full article.

Alabama Securities Commission Senior Special Agent Retires With Distinction. Click here to read the full article.

Lee County Resident (Thomas Washington Campbell, III) Pleads Guilty to Securities Fraud. Click here to read the full article.

Commissioner Hart Elected to Serve as Chairman of the Alabama Securities Commission. Click here to read the full article.

Two Jefferson County Residents (Spero X. Vourliotis and Carey Michael Billingsley) Enter Guilty Pleas Related to Unregistered Investment Clubs. Click […]

Minnesota Resident (Kevin Douglas Vickers) Arrested for Alleged Jefferson County Securities Violations. Click here to read the full article.

Utah Resident (Bruce Mabey) Pleads Guilty to Choctaw County Investment Scam. Click here to read the full article.

IARD System Fee Waiver for Investment Adviser Firms Remains While Reduced System Fees Reinstated for Investment Adviser Representatives. Click here to […]