Search for: "Alabama Securities Commission"
Results 21 - 40
of 544
Sorted by Relevance
|
Sort by Date
24 Jun 2015, 8:28 am
Rogers was ordered by the Alabama Securities Commission to cease and desist from dealing in securities in the State of Alabama. [read post]
10 Apr 2015, 6:14 am
According to news sources Bryan Anderson (Anderson) has been charged with wire fraud, money laundering and securities fraud, according to the FBI and the Alabama Securities Commission Anderson agreed to plead guilty to the charges under a plea agreement. [read post]
17 Jul 2012, 9:01 am
-Failure of pool owner to provide security fencing and other safety features, as often required by law and/or local ordinance. [read post]
8 Apr 2020, 4:27 pm
The Alabama Securities Commission and Texas State Securities Board separately ordered a mining company and its agent to stop operating a fraudulent cryptocurrency scheme generated partly from a promise that the Alabama and Texas resident investors’ funds would be donated to UNICEF for medical equipment to help COVID-19 pandemic victims around the world. [read post]
31 Mar 2023, 11:25 am
The Securities and Exchange Commission today charged three executives of Mobile, Alabama-based shipbuilder, Austal USA LLC, for orchestrating a fraudulent revenue recognition scheme that allowed its parent company to meet or exceed analyst expectations…Read the Full Press Release Have a securities law question? [read post]
16 Nov 2009, 5:31 pm
JP Morgan Chase has settled Securities and Exchange Commission charges that the securities firm was allegedly involved in an illegal payment scam to get municipal securities business from Jefferson County, Alabama. [read post]
23 Apr 2007, 8:39 pm
The Securities and Exchange Commission announced on April 23, 2007, that the United States District Court for the Northern District of Alabama has entered a Final Judgment against defendant Richard M. [read post]
27 Feb 2010, 10:25 pm
The US Securities and Exchange Commission has countered the motion to dismiss its securities fraud case against two former JP Morgan Chase (JPM) executives. [read post]
17 Dec 2014, 5:30 am
Fines of nearly $42,000 were recently levied against one employer in Alabama. [read post]
14 Feb 2012, 8:20 am
The article did not say whether the Securities and Exchange Commission or Department of Justice is also investigating. [read post]
21 May 2010, 1:05 pm
The Pollard Agency, an Alabama-based security company, has agreed to pay $49,566 to settle a lawsuit charging it with refusing to accommodate a security guard's religious practices. [read post]
20 Feb 2018, 4:29 am
“Massachusetts was certainly within its parameters to say, ‘Hey, we’ve got a problem here,'” said Joseph Borg, director of the Alabama Securities Commission. [read post]
30 Jul 2009, 3:16 pm
" Alabama has obtained felony convictions in 25 cases involving financial fraud with 20 more cases pending, according to Joseph Borg, Director of the Alabama Securities Commission and former President of the North American Securities Administrators Association (NASAA). [read post]
13 Feb 2012, 5:50 am
Finally, the retainage caps and 60-day rule do not apply to construction projects for or by an electric utility regulated by the Public Service Commission. [read post]
13 Feb 2012, 5:50 am
Finally, the retainage caps and 60-day rule do not apply to construction projects for or by an electric utility regulated by the Public Service Commission. [read post]
4 Oct 2010, 8:05 pm
Task Force Member Joseph Borg, Director of the Alabama Securities Commission, is the point person for examining SIPC’s involvement in international relations. [read post]
15 Jun 2009, 6:55 am
The Alabama Securities Commission (ASC) also issued an order to show cause against Aura alleging that Aura and three of its managers violated their supervisory and compliance responsibilities under the Alabama securities laws. [read post]
5 Jul 2017, 6:18 am
Campaign Finance Use of Campaign Money for Lawmakers’ Security Requested by Kenneth Doyle for Bloomberg BNA Alabama: Civil Penalties Now in Place for Late or Inaccurate Campaign Reports by Mike Cason for AL.com California: California Democrats Out to Reverse Another Election Rule to Help One of Their Own by Taryn Luna for Sacramento Bee District of Columbia: “Publicly Financed Campaigns in D.C. [read post]
23 Aug 2010, 10:55 pm
An insurance agent, Kimberly Bisslessi Eddins, from Alabama has been charged with six counts of wire fraud for enrolling four patients at a Citronelle nursing home in insurance policies without their consent so that she could gain the commission. [read post]
1 Aug 2014, 4:30 pm
The Securities and Exchange Commission (SEC) is the primary governmental agency that oversees the securities industry. [read post]
