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

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. Rogers has also been sued by former University of Alabama football star Kenneth Darby. Rogers' guilty plea was entered before Madison County Circuit Judge Allison Austin. In 2014, the financial advisor was sued by several investors, including Darby, for $2.4 million. In the suit, Darby asserted that he lost his life savings of over $250,000 because of Rogers. Rogers was arrested in 2015 based on an arrest warrant and indictment returned by the July 2015 Madison County Grand Jury. He will be sentenced on April 18. The prosecution will ask for a ten-year prison sentence for Rogers, according to the statement made by the Alabama [...]

By |March 9th, 2016|Fraud, Press Releases & News|
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Alabama Man Indicted On Securities Fraud Charges

Last month, Jesse Morgan Hinson of Troy, Alabama was arrested for alleged violations of the Alabama Securities Act. Hinson turned himself in to Houston County law enforcement officials based on an arrest warrant issued after an October 2015 Houston County Grand Jury returned a four-count indictment. Hinson was released on $75,000 bond pending trial. The indictment charges Hinson with one count of Sale of Unregistered Securities and one count of Sale of Securities by an Unregistered Agent, Class C felonies, punishable by one year and one day to ten years' imprisonment and a $15,000 fine per charge upon conviction. Additionally, the indictment charges Hinson with two counts of Fraud in Connection with the Sale of Securities for making misrepresentations or omissions of material fact to an investor and for engaging in an act, practice or course of business which operates as a fraud or deceit upon an investor. The fraud charges are Class B felonies, punishable by two to twenty [...]

By |January 4th, 2016|Fraud, Press Releases & News|
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California Man Indicted For Defrauding Alabama Investor

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 felony charges in Calhoun County for securities violations. Brian A. McVeigh, District Attorney for the 7th Judicial Circuit, Calhoun County, and Joseph Borg, Director of the Alabama Securities Commission announced the arrest. Register first faces probation violation charges in California, unrelated to the securities violations. A hearing in California will be scheduled for the probation violation charges, and then he may be extradited to Alabama for the securities charges. A March 2014 session of the Calhoun County Grand Jury returned a four-count indictment against Register, alleging one count of acting as an unregistered investment adviser; two counts of fraud in connection with the advising others [...]

By |November 2nd, 2015|Fraud, Press Releases & News|
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Texas Man Sentenced For Selling Unregistered Securities To Alabama Investor

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. The sentence was suspended, and Waskom was allowed to return to Texas for his probationary period. A condition on that probationary period was verification that Waskom had paid $28,350 restitution in full to the Alabama victim. A Jefferson County Grand Jury had indicted Waskom in October 2011 on charges of violating Alabama securities laws. He was not, however, arrested until earlier this year. It is unknown whether the project behind the investment Waskom sold to the victim even exists. But according to the indictment, Waskom had failed to disclose that the requested money would be used for non-investment purposes. Waskom had approached the Alabama investor, [...]

By |October 30th, 2015|Press Releases & News|
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