8-6-16
Section 8-6-16 Administrative cease and desist authority to commission; injunctive relief; appointment of receivers or conservators for defendants or defendants' assets; court ordered rescission, restitution, or disgorgement for violations. Whenever it appears to the Securities Commission that any person has engaged in or is about to engage in any act or practice constituting a violation of any provision of this article or any rule or order hereunder, it may, in its discretion, do either or both of the following: (a) Issue a cease and desist order, with or without a prior hearing, against the person or persons engaged in the prohibited activities, directing them to cease and desist from engaging in the act or practice. (b) Bring an action in its discretion in any court of competent jurisdiction to enjoin the act or practice and to enforce compliance with this article or any rule or order issued hereunder. Upon a proper showing, a permanent injunction, temporary restraining order, or...
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34-27-68
Section 34-27-68 Commission may seek injunctive relief, etc., for violation of article; investigation; revocation of registration. (a) If it appears that a person, firm, corporation, or any business entity has engaged, or is about to engage, in an act or practice constituting a violation of a provision of this article or rule or order of the commission, the commission, through the Attorney General, may institute legal actions to enjoin the act or practice and to enforce compliance with this article or any rule or order of the commission or to have a receiver or conservator appointed. To prevail in such action, it shall not be necessary to allege or prove either that an adequate remedy at law does not exist or that substantial or irreparable damage would result from the continued violation thereof. (b) The commission may: (1) Make any public or private investigation which it deems necessary, either within or outside of this state, to determine whether any person has violated or is about...
alisondb.legislature.state.al.us/alison/CodeOfAlabama/1975/34-27-68.htm - 6K - Match Info - Similar pages
34-27-36
Section 34-27-36 Disciplinary action - Generally. (a) The commission or its staff may on its own, or on the verified complaint in writing of any person, investigate the actions and records of a licensee. The commission may issue subpoenas and compel the testimony of witnesses and the production of records and documents during an investigation. If probable cause is found, a formal complaint shall be filed and the commission shall hold a hearing on the formal complaint. The commission shall revoke or suspend the license or impose a fine of not less than one hundred dollars ($100) nor more than two thousand five hundred dollars ($2,500), or both, or reprimand the licensee in each instance in which the licensee is found guilty of any of the following acts set out in this section. The commission may revoke or suspend a license until such time as the licensee has completed an approved continuing education course and/or made restitution to accounts containing funds to be held for other...
alisondb.legislature.state.al.us/alison/CodeOfAlabama/1975/34-27-36.htm - 12K - Match Info - Similar pages
8-7A-17
Section 8-7A-17 Orders to cease and desist and other injunctive or civil relief. (a) If the commission determines that any person has engaged in or is about to engage in any act or practice constituting a violation of this chapter or a rule adopted or an order issued under this chapter, the commission, in its discretion, may do any of the following: (1) Issue an order, with or without a prior hearing or notice, against the person or persons engaged in the act or practice, directing them to cease and desist from engaging in the act or practice. (2) Issue an order appointing a receiver or conservator over a respondent or the respondent's assets. (3) Order restitution or disgorgement against any person who has violated this chapter or any rule adopted or order issued pursuant to this chapter. (4) Bring an action in any court of competent jurisdiction to enjoin an act or practice and to enforce compliance with this chapter or any rule adopted or order issued hereunder. Upon a proper...
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15-8-150
Section 15-8-150 Contents; sufficiency; use of analogous forms. The forms of indictment set forth in this section in all cases in which they are applicable, are sufficient, and analogous forms may be used in other cases. (1) CAPTION, COMMENCEMENT AND CONCLUSION GENERALLY. The State of Alabama,) Circuit court, ___ session, ___) 20___ The grand jury of said county charge that, before the finding of this indictment, etc. (describing the offense as in the following forms), against the peace and dignity of the State of Alabama. E.F.J.,District Attorney of the ______ circuit. (2) ADVERTISING, ETC., UNREGISTERED SECURITIES. A. B. did, contrary to law, and subsequent to the ____ day of ____, 20__, advertise (or otherwise describing the unlawful act) in this state for the purpose of inducing or securing subscriptions to or sales of the capital stock of the X. Y. company (or otherwise describing the security so advertised), which said stock (or other security) had not then...
alisondb.legislature.state.al.us/alison/CodeOfAlabama/1975/15-8-150.htm - 33K - Match Info - Similar pages
27-12A-9
Section 27-12A-9 Administrative cease and desist authority. Whenever it appears to the commissioner that any person has engaged in or is about to engage in any act or practice constituting a violation of any provision of this chapter or any rule or order hereunder, the commissioner may, in the commissioner's discretion, do either or both of the following: (1) Issue a cease and desist order, with or without a prior hearing, against the person or persons engaged in the prohibited activities, directing them to cease and desist from engaging in the act or practice. (2) Bring an action in any court of competent jurisdiction to enjoin the act or practice and to enforce compliance with this chapter or any rule or order issued hereunder. Upon a proper showing, a permanent injunction, temporary restraining order, or writ of mandamus shall be granted and a receiver or conservator may be appointed for the defendant or the defendant's assets. In addition, upon a proper showing by the commissioner,...
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13A-6-157.1
Section 13A-6-157.1 THIS SECTION WAS ASSIGNED BY THE CODE COMMISSIONER IN THE 2018 REGULAR SESSION, EFFECTIVE JULY 1, 2018. THIS IS NOT IN THE CURRENT CODE SUPPLEMENT. (a) In addition to any other remedy under this article, if the Attorney General has reason to believe that any person, corporation, or any other legal entity is engaging in, has engaged in, or is about to engage in any act or practice declared to be unlawful by this article, the Attorney General may bring an action in the name of the state in the appropriate state court against the person, corporation, or entity to restrain by temporary restraining order, or temporary or permanent injunction, the acts or practices. (b) In addition to any other remedy under this article, the Attorney General may bring a civil action on behalf of the state in the appropriate state court to recover actual damages for victims of acts or practices performed in violation of this article. (c) Venue for any action brought under this section is...
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34-8-6
Section 34-8-6 Prohibited acts; penalties; cease and desist orders. (a) Any person, firm, or corporation not being duly authorized who shall engage in the business of general contracting in this state, except as provided for in this chapter, and any person, firm, or corporation presenting or attempting to file as its own the license certificate of another, or who shall give false or forged evidence of any kind to the board, or to any member thereof, in obtaining a certificate of license, or who falsely shall impersonate another, or who shall use an expired or revoked certificate of license shall be deemed guilty of a Class A misdemeanor and for each offense for which he or she is convicted shall be punished as provided by law. Furthermore, any person including an owner, architect, engineer, construction manager, or private awarding authority who considers a bid from anyone not properly licensed under this chapter shall be deemed guilty of a Class B misdemeanor and shall for each...
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34-1A-7
Section 34-1A-7 Licenses - Required. (a) Effective January 1, 1998, it shall be unlawful for any person or business entity to engage in a business regulated by this chapter in this state without a current valid license or in violation of this chapter and applicable rules and regulations of the board. (b) Effective January 1, 1998, it shall be unlawful for a person or business entity not licensed under this chapter to advertise or hold out to the public that he or she is a licensee of the board. (c) Any person or business entity who violates this chapter or any order, rule, or regulation of the board shall be guilty of a Class A misdemeanor, and for each offense for which he or she is convicted shall be punished as provided by law. (d) Effective January 1, 1998, it shall constitute a Class A misdemeanor to willfully or intentionally do any of the following: (1) Obliterate the serial number on an alarm system for the purpose of falsifying service reports. (2) Knowingly and deliberately...
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9-16-72
Section 9-16-72 Definitions. The following words and phrases, unless a different meaning is plainly required by the context, shall have the following meanings: (1) APPLICANT. Any person or legal entity who or which applied for a license or a permit to engage in surface coal mining operations. (2) APPROXIMATE ORIGINAL CONTOUR. That surface configuration achieved by filling and grading of the mined area so that the reclaimed area, including any terracing or access roads, closely resembles the general surface configuration of the land prior to mining and blends into and complements the drainage pattern of the surrounding terrain, with all high walls and spoil piles eliminated; water impoundments may be permitted where the commission determines that they are in compliance with this article. (3) COAL BROKER and COAL SALES AGENCY. Those persons whose principal business is the buying and reselling of coal, or the negotiation or soliciting of coal sales between operators and purchasers; where...
alisondb.legislature.state.al.us/alison/CodeOfAlabama/1975/9-16-72.htm - 7K - Match Info - Similar pages
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