Updated: July 09 2014

Alabama - Securities Commission

Each state has its own laws and regulations for securities brokers and for all types of securities, including stocks, mutual funds, commodities, real estate offerings, uninsured investment products sold by banks and others. The officials enforce these laws and regulations. State securities agencies are responsible also for preventing fraud and abuse in the sale of all but the largest securities offerings. If you have a question or complaint about an investment you have made or are about to make, call the company or bank involved. If your complaint or question is not resolved, call the appropriate state securities agency.

Primary Address

Alabama - Securities Commission
401 Adams Ave, Suite 280
Montgomery, AL 36104
Phone: (334) 242-2984
Web: http://asc.state.al.us

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