Sale of Unregistered Securities

Personal
Criminal Defense
Types of criminal cases we handle

Alabama Sale of Unregistered Securities Attorneys

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 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 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 security attorneys are experienced in analyzing these securities cases to answer important questions like:

  • Does this product meet the legal definition of a security?
  • Is this security offering subject to an exception to Alabama securities laws, such as sale to accredited investors?
  • Did any “sale” take place, or was it merely an introduction to an investment opportunity?
  • Was there ever any offering in the State of Alabama to give the Alabama Securities Commission and the Alabama courts jurisdiction over the matter?

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 securities defense attorneys to protect you.  We will provide you an honest opinion of your case, and a vigorous defense.  Call us today at 205-502-2000.

Federal Cases
Charges
Verdict
USA vs. Casper
Armed Career Criminal
NOT Guilty
USA vs. Merritt
Felon in Possession of Firearm
Dismissed
USA vs. White
Drug Conspiracy
Dismissed
USA vs. Williams
Distribution Marijuana/Conspiracy
Dismissed
USA vs. Luther
Theft of Explosives
Dissmissed
USA vs. Connell
Convicted Felon in Possession of Firearm Possession of Unregistered Firearm
NOT Guilty on Both Counts
USA vs. Lee
DUI – Federal Property
Dismissed on Government Motion
USA vs. Simmons
Continuing Criminal Enterprises – Drugs KingPin Cocaine and Marijuana
Verdict to less than 100 kilograms of Marijuana
USA vs. Smith
Wire Fraud Mail Fraud Honest Services Fraud Bribery Federal Programs Fraud Money Laundering
NOT Guilty on All 19 Counts
USA vs. Dyer
Bank Fraud
Negotiated Plea to Probation
USA vs. Scrushy
36 Counts Conspiracy Wire Fraud Mail Fraud Sarbanes-Oakley Money Laundering
NOT Guilty on All Counts
USA vs. Conn
Wire Fraud Federal Contract Fraud
Negotiated Plea to Probation
USA vs. Abercrombie
Theft of Government Funds
Negotiated Plea to Probation
USA vs. Grimes
Wire Fraud
NOT Guilty
USA vs. Nemish
Bank Fraud
NOT Guilty
USA vs. Phillips
Bank Fraud
Reduced
USA vs. Bond and Benefield
Rackateering Wire Fraud Conspiracy
1 Year Probation Dismissed on Government motion
USA vs. Johnson
Theft
NOT Guilty
USA vs. Mershon
Wire Fraud
Charges Dismissed
USA vs. Johnson
Government Fraud
NOT Guilty
USA vs. Khan
Interstate Terrorist Threat
Dismissed
USA vs. Taaid
Eastern District of Michigan Healthcare Fraud
Negotiated Plea
USA vs. Lam
Tuscon, Arizona Largest U.S. Counterfeit Case
Negotiated Plea
USA vs. Kennedy
Mail Fraud Money Laundering
Diversion
State Cases
Charges
Verdict
State vs. Mayes
UPCS
NOT Guilty
State vs. Mayes
UDCS
NOT Guilty
State vs. Johnston
Robbery I
Reduced to Robbery II
State vs. Johnson
Robbery I Making Terrorist Threats Dog/Cat Cruelty Menacing
Reduced to Robbery III NOT Guilty NOT Guilty NOT Guilty
State vs. Khan
Arson
NOT Guilty
State vs. Moore
Theft of Property I
NOT Guilty
State vs. Alderman
Theft of Property I
NOT Guilty
State vs. Kilpatrick
Conspiracy Perjury
Plea to Obstruction of Justice
Murder/Manslaughter Cases
Charges
Verdict
State v. Jones
Assault I
NOT Guilty on 2 Counts
State v. Brogden
Capital Murder (Prosecuted by Alabama Attorney General’s Office)
NOT Guilty
State v. Morris
Murder – 2 Counts Assault – 2 Counts
NOT Guilty on ALL Counts
State v. Corbitt
Murder
NOT Guilty
State v. Coskrey
Murder
NOT Guilty
State v. Vinson
Murder
NOT Guilty
State v. Dean
Murder
NOT Guilty
State v. Cobb

Murder
NOT Guilty
State v. Segars

Murder
NOT Guilty
State v. Garrison

Murder
NOT Guilty
State v. Holland

Murder – 2 Counts
NOT Guilty
State v. Brewer

Murder
Manslaughter
State v. Clark

Murder
Manslaughter
State v. Patterson

Murder
Hung Jury
State v. Melton

Manslaughter
NOT Guilty
State v. Rogers

Manslaughter
NOT Guilty
State v. Floyd


Manslaughter
NOT Guilty
State v. Dumas

Attempted Murder
Assault II(1 year split) (Plea offer after close of State’s case
State v. Jackson

Capital Murder
Reduced to manslaughter Sentence 2 1/2 years
State v. Daniels

Conspiracy to Commit Murder
NOT Guilty
State v. Curry

Attempted Murder
Dismissed
State v. Westover

Manslaughter
NOT Guilty
Robbery/Firearm Cases
Charges
Verdict
State v. Mauldin
Armed Robbery
Dismissed
State v. Scott
Armed Robbery
Dismissed
State v. Speller
Shooting into Occupied Dwelling
NOT Guilty
State v. Clark

Gun Charge
NOT Guilty
State v. Nelson

Burglary I
NOT Guilty
Drug Cases
Charges
Verdict
State v. Patterson

Trafficking
NOT Guilty
State v. Lloyd

Trafficking
Dismissed
State v. Free
Trafficking Manufacturing Precursor Chemicals Possession
NOT Guilty NOT Guilty NOT Guilty Guilty
State v. Richardson

Trafficking
Plea to Possession
State v. Goodson

Distribution
Administrative Fine
State v. Ready

Distribution
NOT Guilty
State v. Correa

Distribution
Hung Jury (Plea to Possession)
State v. Butts

Conspiracy to Distribute Cocaine and Marijuana
Dismissed
State v. Odum

Precursor Chemicals
Misdemeanor
State v. Lynn

Possession
NOT Guilty
State v. Osborne

Possession
NOT Guilty
State v. Lynn

Possession
NOT Guilty
State v. Stephens

Possession
NOT Guilty
State v. Stephens

Possession
NOT Guilty
State v. Gray

Manufacturing
Dismissed
State v. Wallace

Trafficking
Dismissed
Theft Cases
Charges
Verdict
State v. Uber
Theft by Deception
NOT Guilty
State v. Berry
Possession of Forged Instrument 1st
NOT Guilty
State v. Graham
Theft of Property – 7 counts
NOT Guilty all counts
State v. Herring
Theft of Property – 30 misdemeanor counts
NOT Guilty all counts
State v. Woodham
Theft
Dismissed
State v. Whitley
Receiving Stolen Property With numerous priors
Negotiated
State v. Eriksson
Embezzlement
Mistrial
State v. Griffin
Bribery
Hung Jury (twice)

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