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Violation Tracker Individual Record

Company: Birmingham Investments and Birmingham Capital Advisors, LLC
Penalty: $117,500
Year: 2011
Date: May 26, 2011
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: Birmingham Investments, Birmingham Capital Advisors and one individual were ordered to jointly and severally pay a $117,500 fine in a Final Order following alleged violations of twelve state securities regulations involving deceit, failure to keep records, and failure in duty to clients.
Level of Government: state
Action Type: agency action
Agency: Florida Office of Financial Regulation
Civil or Criminal Case: civil
Case ID: 0540-S-8/10
Facility State: Florida
Source of Data: (click here)
Source Notes: If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.