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5-26-13
Section 5-26-13 Enforcement authorities, violations, and penalties. (1) In order to ensure
the effective supervision and enforcement of this chapter the supervisor may: (a) Deny, suspend,
revoke, condition, or decline to renew a license for a violation of this chapter, rules or
regulations issued under this chapter or order or directive entered under this chapter, or
for failure to comply with any other state or federal law, including the rules and regulations
thereunder, applicable to any business authorized or conducted under this act. (b) Deny, suspend,
revoke, condition, or decline to renew a license if an applicant or licensee fails at any
time to meet the requirements of Section 5-26-6 or Section 5-26-9, or withholds information
or makes a material misstatement in an application for a license or renewal of a license.
(c) Order restitution against persons subject to this chapter for violations of this chapter.
(d) Impose fines on persons subject to this chapter pursuant to...
alisondb.legislature.state.al.us/alison/CodeOfAlabama/1975/5-26-13.htm - 3K - Match Info - Similar pages
8-7A-15
Section 8-7A-15 Suspension and revocation. (a) The commission, by order, may suspend or revoke
a license or order a licensee to revoke the designation of an authorized delegate, with or
without prior notice, if the commission finds that such an order is in the best interest of
the public, and any of the following circumstances exist: (1) The licensee has violated any
provision of this chapter or a rule adopted or an order issued under this chapter. (2) The
licensee, or any authorized delegate, does not cooperate with an examination or investigation
by the commission. (3) The licensee, or any authorized delegate, engaged in fraud, intentional
misrepresentation, or gross negligence. (4) An authorized delegate is convicted of a violation
of a state or federal anti-money laundering statute, or willfully violates a rule adopted
or an order issued under this chapter. (5) The competence, experience, character, or general
fitness of the licensee, authorized delegate, or a control person of a...
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8-7A-13
Section 8-7A-13 Reports. (a) A licensee shall file a report to the commission within 15 business
days of any material change in information provided in a licensee's application. (b) A licensee
shall file a report with the commission within five business days after the licensee has reason
to know of the occurrence of any of the following events: (1) The filing of a petition by
or against the licensee under the United States Bankruptcy Code for bankruptcy or reorganization.
(2) The filing of a petition by or against the licensee for receivership, the commencement
of any other judicial or administrative proceeding for its dissolution or reorganization,
or the making of a general assignment for the benefit of its creditors. (3) The commencement
of a proceeding to revoke or suspend its license in a state or country in which the licensee
engages in business or is licensed. (4) The cancellation or other impairment of the licensee's
bond or other security. (5) A charge or conviction of the...
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8-6-3
Section 8-6-3 Registration and bonds of dealers, agents, investment advisers, etc. (a) It is
unlawful for any person to transact business in this state as a dealer or agent for securities
unless he or she is registered under this article. It is unlawful for any dealer or issuer
to employ an agent unless the agent is registered. (b) It is unlawful for any person to transact
business in this state as an investment adviser or as an investment adviser representative
unless: (1) He or she is so registered under this article; (2) His or her only clients in
this state are investment companies as defined in the Investment Company Act of 1940, other
investment advisers, broker-dealers, banks, trust companies, savings and loan associations,
insurance companies, employee benefit plans with assets of not less than $1,000,000, and governmental
agencies or instrumentalities, whether acting for themselves or as trustees with investment
control, or other institutional investors as are designated by...
alisondb.legislature.state.al.us/alison/CodeOfAlabama/1975/8-6-3.htm - 12K - Match Info - Similar pages
32-5A-191
Section 32-5A-191 (Effective until July 1, 2023) Driving while under influence of alcohol,
controlled substances, etc. (a) A person shall not drive or be in actual physical control
of any vehicle while: (1) There is 0.08 percent or more by weight of alcohol in his or her
blood; (2) Under the influence of alcohol; (3) Under the influence of a controlled substance
to a degree which renders him or her incapable of safely driving; (4) Under the combined influence
of alcohol and a controlled substance to a degree which renders him or her incapable of safely
driving; or (5) Under the influence of any substance which impairs the mental or physical
faculties of such person to a degree which renders him or her incapable of safely driving.
(b) A person who is under the age of 21 years shall not drive or be in actual physical control
of any vehicle if there is 0.02 percent or more by weight of alcohol in his or her blood.
The Alabama State Law Enforcement Agency shall suspend or revoke the...
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5-8A-20
Section 5-8A-20 Proceedings of superintendent before banking board as to defaults or misconduct
of bank. Whenever it shall appear to the superintendent that any bank has violated its charter
or any law of the state, or is conducting business in any unauthorized manner, or that the
bank may suspend payment of its obligations, or if its capital is impaired and not made good
under the requirement of the superintendent within the required time, or if any such bank
or an affiliate of such bank as defined in Section 5-3A-1 shall refuse to submit its papers,
books, and concerns to the inspection of the superintendent or any examiner, or if any officer
thereof shall refuse to be examined on oath touching the conducting of any such bank, or if
any such bank shall suspend payment of its obligations, or if from any examination the superintendent
shall have reason to conclude that such bank is in an unsound or unsafe condition to transact
the business for which it was organized, or that it is...
alisondb.legislature.state.al.us/alison/CodeOfAlabama/1975/5-8A-20.htm - 2K - Match Info - Similar pages
8-31-5
Section 8-31-5 Penalties for violation of chapter; penalties collected remitted to State Treasurer;
suspension or revocation of license or certificate. (a) Upon an entry of judgement or decree
for a violation of this chapter, the court shall impose a civil penalty not to exceed one
thousand dollars ($1,000) per violation with an aggregate total not to exceed twenty-five
thousand dollars ($25,000) for any 24-hour period. (b) All penalties collected under this
chapter shall be remitted by the circuit court to the State Treasurer and shall be credited
to the account of either the office of the Attorney General or the office of the district
attorney whichever initiated the action resulting in the imposition of such penalties. (c)
Upon a showing to the court by the office of the Attorney General or the office of the district
attorney that a person has engaged in continuous and willful violations of this chapter, the
court may suspend or revoke any license or certificate authorizing that...
alisondb.legislature.state.al.us/alison/CodeOfAlabama/1975/8-31-5.htm - 1K - Match Info - Similar pages
27-29-12
Section 27-29-12 Suspension, revocation or nonrenewal of insurer's license or authority to
do business. Whenever it appears to the commissioner that any person has committed a violation
of this chapter which makes the continued operation of an insurer contrary to the interests
of policyholders or the public, the commissioner may, after giving notice and an opportunity
to be heard, determine to suspend, revoke, or refuse to renew such insurer's license or authority
to do business in this state for such period as he finds is required for the protection of
policyholders or the public. Any such determination shall be accompanied by specific findings
of fact and conclusions of law. (Acts 1973, No. 1042, p. 1636, ยง13.)...
alisondb.legislature.state.al.us/alison/CodeOfAlabama/1975/27-29-12.htm - 1K - Match Info - Similar pages
27-40-4
Section 27-40-4 Licenses - Investigation and qualifications of applicant; issuance. (a) Upon
the filing of an application and the payment of the license fee the commissioner shall make
an investigation of each applicant and shall issue a license if the applicant is qualified
in accordance with this section. If the commissioner does not so find, he shall, within 30
days after he has received such application, at the request of the applicant, give the applicant
a full hearing. (b) The commissioner shall issue or renew a license as may be applied for
when he is satisfied that the person to be licensed: (1) Is competent and trustworthy and
intends to act in good faith in the capacity involved by the license applied for; (2) Has
a good business reputation and has had experience, training, or education, so as to be qualified
in the business for which the license is applied for; and (3) If a corporation, is a corporation
incorporated under the laws of this state or a foreign corporation...
alisondb.legislature.state.al.us/alison/CodeOfAlabama/1975/27-40-4.htm - 1K - Match Info - Similar pages
34-21-25
Section 34-21-25 Denial, suspension, or revocation of license; administrative fines; voluntary
disciplinary alternative program. (a) For disciplinary purposes, the board may adopt, levy,
and collect administrative fines not to exceed one thousand dollars ($1,000) per violation
and may institute any legal proceedings necessary to effect compliance with this chapter against
its licensees. (b)(1) The board may also deny, revoke, or suspend any license issued by it
or otherwise discipline a licensee, or holder of a multistate privilege to practice in Alabama,
upon proof of any of the following regarding the licensee: a. Is guilty of fraud or deceit
in procuring or attempting to procure a license. b. Has been convicted of a felony. c. Is
guilty of a crime involving moral turpitude or of gross immorality that would tend to bring
reproach upon the nursing profession. d. Is unfit or incompetent due to the use of alcohol,
or is addicted to the use of habit-forming drugs to such an extent as to...
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