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 Notes: 
If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Parent company note: 
Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.