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34-4-29
Section 34-4-29 Revocation or suspension - Procedure generally; grounds; notice and hearing
required before denial, suspension, or revocation; administrative fines. (a) The board may
revoke or suspend licenses as provided in this section. (b) The board may, upon its own motion,
and shall, upon the verified complaint in writing of any person containing evidence, documentary
or otherwise, that makes out a prima facie case, investigate the actions of any auctioneer,
apprentice auctioneer, or any person who assumes to act in either capacity, and hold a hearing
on the complaint. (c) The board may suspend or revoke any license which has been issued based
on false or fraudulent representations. The board may also suspend or revoke the license of
any licensee for any of the following acts: (1) Making any substantial misrepresentation.
(2) Pursuing a continued and flagrant course of misrepresentation or making false promises
through agents, advertising, or otherwise. (3) Accepting valuable...
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8-6-14
Section 8-6-14 Filing or registration not finding of truth, completeness, etc., of documents;
representations concerning effect of registration or exemption. (a) Neither the fact that
an application for registration under Section 8-6-3 or a registration statement under Sections
8-6-5, 8-6-6 or 8-6-7 has been filed, nor the fact that a person or security is effectively
registered constitutes a finding by the Securities Commission that any document filed under
this article is true, complete, and not misleading. (b) Neither any such fact nor the fact
that an exemption or exception is available for a security or a transaction means that the
Securities Commission has passed in any way upon the merits or qualifications of or recommended
or given approval to any person, security, or transaction. (c) It is unlawful to make, or
cause to be made, to any prospective purchaser, customer, or client any representation inconsistent
with this section. (Acts 1959, No. 542, p. 1318, ยง14; Acts 1990, No....
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34-13-56
Section 34-13-56 Grounds for revocation, suspension, or refusal to issue or renew licenses,
etc.; hearing; fines. (a) The board may refuse to license any person or establishment for
violation of this chapter. If the board refuses to issue, grant, or renew a license based
on a violation of this chapter, including, but not limited to, violations listed in subsection
(c), the licensee or prospective licensee may request a public hearing before the board to
appeal the action of the board. The request for a public hearing shall be submitted to the
board in writing within 14 calendar days after the date of the refusal. Upon request, the
board shall provide the licensee or prospective licensee with 20 days' notice of the public
hearing by United States certified mail. The public hearing shall be conducted pursuant to
Section 34-13-26. (b) A public hearing conducted pursuant to Section 34-13-26 shall be provided
by the board to any licensee for whom the board is considering the probation,...
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8-6-9
Section 8-6-9 Registration of securities - Denial, suspension and revocation of registration.
The Securities Commission shall issue an order denying effectiveness to, or suspending or
revoking the effectiveness of, any registration statement in the sale of securities if it
finds that the order is in the public interest and that: (1) The registration statement, as
of its effective date or as of any earlier date in the case of an order denying effectiveness,
is incomplete in any material respect or contains any statement which was, in the light of
the circumstances under which it was made, false or misleading with respect to any material
fact. (2) Any provision of this article or any rule, order, or condition lawfully imposed
under this article has been willfully violated in connection with the offering by: a. Any
person filing the registration statement; b. The issuer, any partner, officer, or director
of the issuer, any person occupying a similar status or performing similar functions,...
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11-65-11
Section 11-65-11 Qualifications of commission employees. Each appointed officer and each employee
of a commission shall be of good moral character and shall never have been convicted of a
felony or other offense involving moral turpitude. As a condition of employment by a commission,
each employee shall make and submit to such commission an affidavit confirming his or her
qualifications, as set forth in the preceding sentence, to be an employee of such commission,
which affidavit shall constitute a part of the permanent personnel records of such commission.
Any employee of a commission who in such affidavit intentionally makes a false statement of
material fact or intentionally fails to disclose any information necessary to make any statement
of material fact made therein not misleading shall be guilty of perjury and shall be subject
to prosecution and punishment therefor in the same manner as if he had committed perjury as
a witness in open court. (Acts 1984, No. 84-131, p. 159,...
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2-26-11
Section 2-26-11 Prohibited acts. (a) It shall be unlawful for any person to sell, offer for
sale, expose for sale or distribute within this state: (1) Any agricultural or vegetable seed
unless the test to determine the percentage of germination required by Section 2-26-7 shall
have been completed within a nine-month period, exclusive of the calendar month in which the
test was completed, immediately prior to sale or offering for sale, transportation or distribution;
provided, however, that the State Board of Agriculture and Industries shall have authority
under rules and regulations adopted under this article to prescribe a shorter required test
period when deemed necessary to meet seasonal conditions with respect to certain seed; provided
further, that the State Board of Agriculture and Industries shall also have authority pursuant
to rules and regulations to prescribe a longer period of time for the test required to determine
the percentage of germination for agricultural and...
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27-12A-20
Section 27-12A-20 Fraud warning. (a) A fraud warning shall be included on at least one of the
following: Claim release forms, applications, reinstatements for insurance, participation
agreements, declaration pages, and claim documents, regardless of the method or form of transmission
and shall contain the following statement or a substantially similar statement: "Any
person who knowingly presents a false or fraudulent claim for payment of a loss or benefit
or who knowingly presents false information in an application for insurance is guilty of a
crime and may be subject to restitution, fines, or confinement in prison, or any combination
thereof." (b) The lack of a statement required by subsection (a) shall not constitute
a defense in any prosecution for insurance fraud. (c) Policies issued by unauthorized insurers
shall contain a statement disclosing the status of the insurer to do business in the state
where the policy is delivered or issued for delivery or the state where coverage is...
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34-27-67
Section 34-27-67 Registration required of every plan offered for sale. Every vacation time-sharing
plan for sale or offered for sale in this state shall be registered with the Alabama Real
Estate Commission as follows: (1) Upon receipt of an application for registration in the required
form, the commission shall forthwith initiate an examination to determine that: a. The seller
may convey or cause to be conveyed the vacation time-sharing plan offered for sale if the
purchaser complies with the terms of the offer. b. The advertising material and general promotional
plan are not false or misleading as determined by the commission. c. The requirements of this
article and the rules of the commission have been fulfilled. d. The seller has not, or, if
a corporation, its officers, directors, and principals have not been convicted of any crime
involving land dispositions, any crime of moral turpitude, any securities law violation, fraudulent
business activity, or any aspect of the vacation...
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16-46-1
Section 16-46-1 Definitions. For the purposes of this chapter, the following words shall have
the meanings respectively ascribed to them by this section: (1) ACADEMIC FRAUD. Courses offered
are insufficient in quality, content, or administration to achieve the stated or implied educational
objective. Persons offering such courses who know or reasonably should know that the courses
cannot achieve the stated or implied educational objective shall be considered to be involved
in academic fraud. (2) AGENT or REPRESENTATIVE. Salesperson who presents materials, sells
courses, or solicits students for enrollment of students in the state in person, by mail,
by correspondence, by telephone, online, by distance learning education, or by any other method
of advertising within the state. (3) COURSE. Any course, or portion of a plan or program of
instruction, whether conducted in person, by mail, by correspondence, online, by distance
learning education, or by any other method. (4) ECONOMIC FRAUD....
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2-29-9
Section 2-29-9 Prohibited acts. No person shall receive or offer to receive, sell or offer
to sell on commission within this state any kind of farm products without a permit, except
as permitted by this chapter. No person being a commission merchant in farm products shall
knowingly impose any false or fictitious charge for handling or services in connection with
farm products or, with intent to defraud, fail to account or make settlement therefor promptly
and properly or, with intent to deceive, make any material false statement or statements as
to market conditions or enter into any combination to fix the prices of farm products or,
with intent to defraud, make any material false statement or report as to the grade, condition,
markings, quality or quantity of goods, received or, without a permit, advertise or hold himself
out as a commission merchant in farm products or directly or indirectly purchase for his own
account goods received for sale on commission without prior written...
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