The following acts constitute grounds for which disciplinary action against a registrant or controlling person may be taken by the secretary:

(1) Being convicted of or entering a guilty plea or a plea of nolo contendere to, any of the following:

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Terms Used In Alabama Code 25-14-7

  • Evidence: Information presented in testimony or in documents that is used to persuade the fact finder (judge or jury) to decide the case for one side or the other.
  • following: means next after. See Alabama Code 1-1-1
  • Fraud: Intentional deception resulting in injury to another.
  • Jurisdiction: (1) The legal authority of a court to hear and decide a case. Concurrent jurisdiction exists when two courts have simultaneous responsibility for the same case. (2) The geographic area over which the court has authority to decide cases.
  • Nolo contendere: No contest-has the same effect as a plea of guilty, as far as the criminal sentence is concerned, but may not be considered as an admission of guilt for any other purpose.
  • person: includes a corporation as well as a natural person. See Alabama Code 1-1-1
  • Plea: In a criminal case, the defendant's statement pleading "guilty" or "not guilty" in answer to the charges, a declaration made in open court.
  • property: includes both real and personal property. See Alabama Code 1-1-1
  • state: when applied to the different parts of the United States, includes the District of Columbia and the several territories of the United States. See Alabama Code 1-1-1
  • writing: includes typewriting and printing on paper. See Alabama Code 1-1-1
a. A crime in any jurisdiction which relates to the operation of a professional employer organization or the ability to engage in business as a professional employer organization.
b. Fraud, deceit, or misconduct in the classification of employees and reporting of employee wages under the workers’ compensation laws of this state.
c. Fraud, deceit, or misconduct in the establishment of or maintenance of workers’ compensation coverage, regardless of whether self-insured or otherwise.
d. Fraud, deceit, or misconduct in the operation of a professional employer organization.
(2) Failing to maintain evidence of the workers’ compensation insurance coverage required in accordance with this chapter.
(3) Violating this chapter or any lawful order or rule issued under this chapter.
(4) Failing to notify the secretary in writing of any change of the primary business address or the addresses of any of the registrant’s offices in the state.
(5) Being found guilty by a court of competent jurisdiction of a course of conduct or practices which show that the registrant is so incompetent, negligent, dishonest, or untruthful that the money, property, transactions, and rights of investors, or those with whom the registrant may sustain a confidential relation, may not safely be entrusted to the registrant.
(6) Failing to inform the secretary in writing within 30 days after being convicted, pleading guilty, or entering a plea of nolo contendere to a felony, regardless of adjudication.
(7) Found liable for civil fraud by any court of competent jurisdiction in any state.
(8) Failure to inform the secretary in writing within 30 days of an adverse material action by a state or federal regulatory agency.
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