Search for: "Alabama Securities Commission"
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16 Aug 2011, 2:52 pm
A federal district court in Alabama granted summary judgment in favor of the SEC on its claims that Larry Langford, the former president of the Jefferson County, Alabama Commission, violated the securities laws when he accepted payments from a broker-dealer... [read post]
30 May 2018, 7:53 am
“Cryptocriminals need to know that the Alabama Securities Commission is committed to swiftly and effectively protecting investors from schemes and scams involving these products”, he added. [read post]
12 Jun 2009, 1:26 pm
According to a Securities and Exchange Commission (SEC) press release, the SEC and the Alabama Securities Commission (ASC) have charged Aura Financial Services, Inc. [read post]
12 Jun 2009, 1:26 pm
According to a Securities and Exchange Commission (SEC) press release, the SEC and the Alabama Securities Commission (ASC) have charged Aura Financial Services, Inc. [read post]
13 Feb 2019, 6:30 am
Election Assistance Commission; Alex Padilla, Secretary of State, California; Noah Praetz, Former Director of Elections, Cook County, Illinois; Jake Braun, Executive Director, Cyber Policy Initiative; and John Merrill, Secretary of State, Alabama. [read post]
24 Jun 2015, 11:34 am
Joseph Borg, Director of the Alabama Securities Commission (ASC) and the District Attorney for Madison County, AL, Robert Broussard, recently announced that Keith Michael Rogers was arrested for 10 counts of alleged violations of the Alabama Securities Act. [read post]
12 Mar 2010, 9:51 am
Alabama Attorney General's Office and Alabama Securities Commission filed a complaint against Keith Anderson Nelms for violation of the Deceptive Trade Practices Act. [read post]
23 Sep 2010, 12:52 pm
Joseph Borg, Director, Alabama Securities Commission The Honorable Orlan Johnson, Chairman of the Board, Securities... [read post]
13 Oct 2016, 1:36 pm
Below we offer more information about how judges determine bail in Alabama as covered under the Alabama Rules of Criminal Procedure Rule 7. [read post]
22 Jun 2021, 7:37 am
Continue reading The post Alabama Financial Advisor, Kevin McCallum, Formerly of LPL Financial, Suspended for One Year for Making Unsuitable Investment Recommendations appeared first on Securities Arbitration Lawyer Blog. [read post]
1 Jul 2022, 1:12 pm
The physician must have access to the patient’s medical records, must maintain complete and accurate medical records in compliance with the regulations of the Alabama Board of Medical Examiners and Alabama Medical Licensure Commission, and must be able to produce such records upon demand by the patient or such Board of Commission. [read post]
21 May 2011, 6:46 pm
Borg is director of the Alabama Securities Commission. [read post]
8 Oct 2009, 8:02 am
Frye remains in federal custody awaiting extradition to Alabama, according information from the Alabama Securities Commission. [read post]
20 Sep 2006, 2:16 am
Borg, who originally hails from New York, is the Director of the Alabama Securities Commission, and was the NASAA president in 2001 and 2002. [read post]
18 Mar 2011, 8:38 am
As quoted in the article, Joseph Borg, a 16-year securities regulator who runs the Alabama Securities Commission, [read post]
1 Sep 2016, 12:26 pm
The Securities and Exchange Commission today charged Alabama attorney Donald Watkins and companies he controls with defrauding professional athletes and other investors out of millions of dollars, much of which he spent on his girlfriend and to cover personal expenses like alimony, past due taxes and credit card bills.The Commission’s complaint, filed in federal district court in Atlanta, alleges that Watkins and his companies, Watkins Pencor LLC and Masada… [read post]
21 Jan 2009, 9:33 am
Related Web Resources: Jefferson County, Alabama About Municipal Bonds, SIFMA US Representative Spencer Bachus US Securities and Exchange Commission [read post]
19 Jun 2008, 2:47 pm
Though there may be reason to question the use of the courts in securing tax policy reform, what is interesting about this case is the way it demonstrates the unsavory original intent behind many of Alabama's property tax limitations. [read post]
11 Apr 2023, 6:24 am
Texas also extends its appreciation to Director Joe Borg, Alabama Securities Commission, for his relentless, quality efforts in effectuating the states’ most recent result for our investors. [read post]
6 Feb 2010, 1:57 pm
District Court for the Northern District of Alabama to throw out most of the securities fraud charges that the regulator agency has filed against them. [read post]
