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5-18A-18
Section 5-18A-18 Written complaint; investigation; compliance with subpoena. (a) Any person
aggrieved by the conduct of a licensee under this chapter in connection with the regulated
activities of the licensee may file a written complaint with the supervisor who may investigate
the complaint. (b) In the course of the investigation of the complaint, the supervisor may
do the following: (1) Subpoena witnesses. (2) Administer oaths. (3) Examine any individual
under oath. (4) Compel the production of records, books, papers, contracts, or other documents
relevant to the investigation. (c) If a person fails to comply with a subpoena of the supervisor
under this chapter or to testify concerning any matter about which the person may be interrogated
under this chapter, the supervisor may petition any court of competent jurisdiction for enforcement.
(d) The license of any licensee under this chapter who fails to comply with a subpoena of
the supervisor may be suspended pending compliance with...
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5-25-8
Section 5-25-8 License requirements. (a) Each license issued under this chapter shall state
the address of the licensee's principal place of business and the name of the licensee. (b)
A licensee shall post the license in a conspicuous place in each place of business of the
licensee. (c) A license may not be transferred or assigned. (d) No licensee shall transact
business under any name other than that designated in the license. (e) Each licensee shall
notify the department in writing of any change in the address of its principal place of business
or of any change in the address of any licensed location 15 days prior to such change, and
any change of officers, directors, or principal of the licensee, not later than 30 business
days after the change is effective. (f) Within 15 days of the occurrence of any one of the
following events, a licensee shall file a written report with the supervisor describing the
event and its expected impact on the activities of the licensee in this state:...
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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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5-18-8
Section 5-18-8 License - Place of business of licensee. (a) Separate license for each place
of business. - Not more than one place of business shall be maintained under the same license,
but the supervisor may issue additional licenses to the same licensee upon his compliance
with all the provisions of this chapter governing the issuance of the first or original license.
(b) Removal. - No change in the place of business of a licensee to a location outside of the
original municipality shall be permitted under the same license. When a licensee wishes to
change his place of business within the same municipality, he shall give written notice thereof
to the supervisor who shall investigate the facts and, if he shall find the proposed location
is reasonably accessible to borrowers under existing loan contracts, shall enter an order
permitting the change and shall amend the license accordingly. If the supervisor shall not
so find, he shall enter an order denying the licensee such permission...
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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...
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16-46-10
Section 16-46-10 Violations of chapter; penalties. It shall be unlawful for any person to violate
this chapter. Any person required by this chapter to have a license or permit who shall do
in this state any business of the nature described in this chapter without first obtaining
such a license or permit as required of him or her by this chapter shall be guilty of a misdemeanor
and, upon conviction, shall be punished by a fine of not more than five hundred dollars ($500)
or a term of imprisonment not to exceed six months, or both. Each day's violation of this
chapter shall constitute a separate offense. All fines shall be deposited in the State Treasury
to the credit of the Department of Postsecondary Education. (Acts 1971, 3rd Ex. Sess., No.
87, p. 4299, §11; Acts 1980, No. 80-272, p. 349, §1; Act 2004-282, p. 388, §1; Act 2014-245,
p. 785, §5.)...
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5-19A-17
Section 5-19A-17 Penalties for willful violation of chapter or for false entry in required
records; compliance enforced by supervisor; order requiring person to refrain from violation.
(a) In addition to any other penalty which may be applicable, any licensee who willfully violates
this chapter or who willfully makes a false entry in any record specifically required by this
chapter shall be guilty of a misdemeanor and, upon conviction thereof, shall be punished by
a fine not in excess of $1,000.00 per violation or false entry. (b) Compliance with this chapter
shall be enforced by the supervisor who may exercise any authority conferred by law. (c) When
the supervisor has reasonable cause to believe that a person is violating this chapter, the
supervisor, in addition to and without prejudice to the authority provided elsewhere in this
chapter, may enter an order requiring the person to stop or to refrain from the violation.
The supervisor may sue in any circuit court of the state having...
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5-18-23
Section 5-18-23 Maintenance of listing of licensees doing business in state; public access
to reports, etc. (a) The supervisor shall cause to be kept on file in the Bureau of Loans,
open to public inspection during business hours, an alphabetical listing of all licensees
doing business in Alabama, and such list shall reveal the true ownership of the licensee companies.
If the company is a corporation, the list shall indicate the name of the corporation, the
address of the home office and the names and addresses of its officers and directors. (b)
Except as provided in subsection (a) of this section, all applications, reports and other
papers and documents submitted by licensees to the supervisor or to the bureau shall be open
to public inspection only upon approval of the supervisor, but the supervisor shall not deny
any person access to such records when the disclosure thereof to such person is in the public
interest. (Acts 1959, No. 374, p. 966, §22.)...
alisondb.legislature.state.al.us/alison/CodeOfAlabama/1975/5-18-23.htm - 1K - Match Info - Similar pages
5-18A-15
Section 5-18A-15 Suspension or revocation of license; hearing. (a) The supervisor may, after
notice and hearing, suspend or revoke any license if the supervisor finds that the licensee
has knowingly or through lack of due care committed any of the following actions: (1) Failed
to pay the annual license fee imposed by this chapter or an examination fee imposed by the
supervisor under the authority of this chapter. (2) Committed fraud, engaged in a dishonest
activity, or made misrepresentations. (3) Violated a provision of this chapter, an administrative
regulation issued pursuant to this chapter, or has violated any other law in the course of
its or his or her dealings as a licensee. (4) Made a false statement in the application for
the license or failed to give a true reply to a question in the application. (5) Demonstrated
incompetence or untrustworthiness to act as a licensee. (6) Entered or caused to be entered
or allowed to be entered any false information on any business record of...
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5-25-16
Section 5-25-16 Enforcement and penalties. (a) Whenever it appears to the supervisor that any
person required to be licensed or registered under this chapter has violated any law of this
state or any order or regulation of the department, the supervisor after notice and hearing
may order such person or an affiliate acting on behalf of such person to cease and desist
from the unauthorized practices. (b) Any person required to be licensed under this chapter
or an affiliate of such person who is found by the supervisor after notice and hearing to
have violated this chapter or the terms of any order issued pursuant to this section may be
ordered by the supervisor to pay a civil penalty of not more than three thousand dollars ($3,000)
in the aggregate for all violations of a similar nature or, where violations are knowing violations,
not more than fifteen thousand dollars ($15,000), in addition to any other penalties provided
by law, including, but not limited to, revocation of any licenses...
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