Most white-collar securities crimes are prosecuted in United States federal courts. However, the Alabama Securities Commission, a division of the Alabama Attorney General’s Office, does prosecute some securities violations in the state courts of Alabama. The two most common charges brought by the Alabama Securities Commission are the sale of unregistered securities and the sale of securities by an unregistered broker-dealer. Subject to a few exceptions, individuals who offer securities for sale in the State of Alabama are governed by blue sky laws requiring most security offerings to be registered with the Alabama Securities Commission. If these securities are not registered, their sale within the State is a felony called the “sale of unregistered securities.” Additionally, individuals offering securities for sale must be registered with the Alabama Securities Commission (as well as other federal securities agencies) as a licensed broker and securities dealer. Failure to obtain your license and register leaves you open to prosecution for the felony “sale by an unregistered broker-dealer” in the event you offer to sell any security. Our experienced Birmingham sale of unregistered securities attorney are experienced in analyzing these securities cases to answer important questions like:
If you are being investigated by the Alabama Attorney General, the District Attorney or the Alabama Securities Commission for the sale of unregistered securities or sale by an unauthorized broker dealer, contact our experienced Alabama sale of unregistered securities attorney to protect you. We will provide you an honest opinion of your case, and a vigorous defense. Call us today at 205-502-2000.
Boles Holmes White LLC is a full-service law firm providing transactional, litigation, government relations and white collar/criminal defense. We represent both businesses and individuals throughout the Southeast Region. As a full-service law firm with roots in the small town of Dothan and with large Birmingham firm experience, all of our attorneys strive to provide clients “big firm” representation with “small town” accessibility and personal attention. That is what sets us apart.
no representation is made that the quality of the legal services to be performed is greater than the quality of legal services performed by other lawyers.
