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What does the Alabama Securities Commission do?

Alabama Securities Commission. The ASC is responsible for regulating the securities industry in the State of Alabama. One of our main functions is to oversee the firms and individuals that engage in the offer and sale of securities to the public.

How do I file a complaint against a company in Alabama?

Consumer complaints can be mailed into our office; however, due to ongoing issues with receiving mail at our office in a timely manner, we strongly encourage you to fax your consumer complaint to 205-945-0273 or email it to staff@pgfb.alabama.gov to ensure we receive your complaint.

What is the protection of vulnerable adults from financial exploitation act in Alabama?

The Protection of Vulnerable Adults from Financial Exploitation act mandates reporting to the Alabama Securities Commission and the Alabama Department of Human Resources by qualified individuals (agents, investment adviser representatives, and persons who serve in a supervisory, compliance, legal, or member capacity

How do I file a complaint against a judge in Alabama?

A complaint must be submitted in writing, must specifically name a judge (and not simply name an entire court), and must contain enough specific facts for the Commission to evaluate the judges alleged misconduct or disability. Also, be sure to provide any documents that may support your allegations.

What is financial exploitation of an elderly person in Alabama?

A person commits the crime of financial exploitation of the elderly in the first degree if he/she takes the property of any elderly person the value of which exceeds $2500.