Joseph Borg

Home » Joseph Borg
Jul 11, 2016

AL Man Charged With $1.5M Securities Fraud Involving Church

By |July 11th, 2016|Alabama, Alabama Securities Commission, Failure To Disclose, Fraud, Joseph Borg, Misrepresentation and Fraud, Press Releases & News, Private Placements, Securities Law Violations, Unregistered broker dealer, Unregistered Securities|

Terry Earl Hester of Pike County, Alabama was charged with violating the Alabama Securities Act after allegedly making false promises to a Tuscaloosa County church involving $1.5 million in funds. Hester turned himself into authorities on June 15. The charges are the result of a six-count indictment by a Tuscaloosa County grand jury, according [...]

Jul 1, 2016

3 States Order Elder Financial Abuse Reporting

By |July 1st, 2016|Alabama, Alabama Securities Commission, FINRA, Fraud, Joseph Borg, Misrepresentation and Fraud, Press Releases & News, SEC|

As of today, laws in Alabama, Indiana, and Vermont require financial advisers to report suspected financial abuse of the elderly and other vulnerable adults to state officials. These states' legislatures approved the bills earlier this year. And their governors signed the bills into law, putting these states at the forefront of protecting against elder financial abuse. The [...]

Mar 9, 2016

Financial Advisor For Ex-Alabama Football Player Pleads Guilty To Fraud

By |March 9th, 2016|Alabama, Alabama Securities Commission, Fraud, Huntsville, Joseph Borg, Madison County, Misrepresentation and Fraud, Ponzi Scheme, Press Releases & News, Securities Law Violations|

Keith Michael Rogers, a financial advisor from Huntsville, Alabama, pleaded guilty to one count of fraud in connection with the sale of securities, according to the Alabama Securities Commission. Specifically, Rogers' plea was attributed to his engaging in an act, practice or course of business which operated as a fraud or deceit upon his victims. [...]

Nov 2, 2015

California Man Indicted For Defrauding Alabama Investor

By |November 2nd, 2015|Alabama, Alabama Securities Commission, Fraud, Joseph Borg, Misrepresentation and Fraud, Press Releases & News, Securities Law Violations, Unregistered broker dealer|

Daniel Scott Register of Valencia, California was indicted in Calhoun County, Alabama on charges of defrauding an Alabama investor. Register was arrested on October 6 by the Orange County, California Sheriff's Department. He was then transferred on October 9 to a correctional facility in Los Angeles, and a hold was placed on him for pending [...]

Oct 30, 2015

Texas Man Sentenced For Selling Unregistered Securities To Alabama Investor

By |October 30th, 2015|Alabama, Alabama Securities Commission, Joseph Borg, Press Releases & News, Securities Law Violations, Unregistered broker dealer, Unregistered Securities|

Richard Waskom of McKinney, Texas pleaded guilty to one count of Sale of Unregistered Securities before Jefferson County, Alabama Circuit Court Judge Tommy Nail and was given probation for selling unregistered securities pertaining to a project to re-enter previously drilled oil wells. Waskom was sentenced, under a plea deal with prosecutors, to five years imprisonment. [...]

Oct 7, 2015

Mobile, Alabama Man Arrested For Alleged Securities Violations

By |October 7th, 2015|Alabama, Alabama Securities Commission, Fraud, Joseph Borg, Misrepresentation and Fraud, Press Releases & News, Securities Law Violations|

Richard James Tucker of Mobile, Alabama was arrested last week by Baldwin County, Alabama Sheriff's Department deputies for alleged violations of the Alabama Securities Act. The arrest was subsequent to a June 2015 Baldwin County Grand Jury Indictment charging Tucker with three counts of Fraud in Connection with the Sale of Securities, including one count [...]

Aug 19, 2015

Ex-Cypress Creek CEO Pleads Guilty To Securities Fraud

By |August 19th, 2015|Alabama, Alabama Securities Commission, Fraud, Huntsville, Joseph Borg, Madison County, Misrepresentation and Fraud, Press Releases & News, Securities Law Violations|

James Albert Lawhorne, Jr., former CEO of Cypress Creek Organic Farms, Inc., pleaded guilty  in Huntsville before Madison County Circuit Judge James P. Smith to two counts of Securities Fraud relating to an investment scheme involving the company. In accordance with his plea agreement, Lawhorne admitted to each fraud count, Class B Felonies with a [...]

Aug 14, 2015

Alabama Man Sentenced For Ponzi Scheme

By |August 14th, 2015|Alabama, Alabama Securities Commission, Failure To Supervise, Fraud, Joseph Borg, Misrepresentation and Fraud, Ponzi Scheme, Press Releases & News, Securities Arbitration, Securities Law Violations|

Bryan Anderson, a former broker from Hoover, Alabama, was sentenced yesterday to seven years and three months in federal prison after pleading guilty to operating a Ponzi scheme that defrauded investors out of over $3 million. U.S. District Court Judge Virginia Hopkins also ordered Anderson to pay restitution of $3,068,614 plus interest to his victims. [...]

May 11, 2015

Alabama Securities Fraudster’s Assets Intercepted

By |May 11th, 2015|Alabama, Alabama Securities Commission, Huntsville, Joseph Borg, Misrepresentation and Fraud, Press Releases & News, Securities Law Violations|

The Alabama Securities Commission intercepted $16,000 worth of redeemed stock owned by Harry H. "Woody" Duncan from Huntsville, Alabama and successfully rerouted the cash to assist in the payment of restitution to victims of an illegal securities scheme operated by Duncan in 2011. In August 2012, Madison County, Alabama Circuit Court Judge James P. Smith [...]

Free Case Evaluation

Call 888-741-7503 now or fill out the form above
to receive a free confidential consultation.
disclaimer
disclaimer-mob
TEXT US888.741.7503