Maine Revised Statutes > Title 32 > Chapter 135 > Subchapter 5-A – Securities Restitution Assistance Fund
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Terms Used In Maine Revised Statutes > Title 32 > Chapter 135 > Subchapter 5-A - Securities Restitution Assistance Fund
- Administrator: means the Securities Administrator under section 16601. See Maine Revised Statutes Title 32 Sec. 16102
- Adult: means a person who has attained the age of 18 years. See Maine Revised Statutes Title 1 Sec. 72
- Agent: means an individual, other than a broker-dealer, who represents a broker-dealer in effecting or attempting to effect purchases or sales of securities or represents an issuer in effecting or attempting to effect purchases or sales of the issuer's securities. See Maine Revised Statutes Title 32 Sec. 16102
- Appeal: A request made after a trial, asking another court (usually the court of appeals) to decide whether the trial was conducted properly. To make such a request is "to appeal" or "to take an appeal." One who appeals is called the appellant.
- Attachment: A procedure by which a person's property is seized to pay judgments levied by the court.
- Claimant: includes the named party in a restitution award in a final order, the executor of a named party in a restitution award in a final order, the heirs and assigns of a named party in a restitution award in a final order and any other person with lawful authority to act for or on behalf of a named party in a restitution award in a final order. See Maine Revised Statutes Title 32 Sec. 16521
- Conviction: A judgement of guilt against a criminal defendant.
- Eligible adult: means :
A. See Maine Revised Statutes Title 32 Sec. 16521Executor: A male person named in a will to carry out the decedent Final order: means a final order issued by the administrator under this chapter or a final order issued by a court in a legal action initiated by the administrator under this chapter. See Maine Revised Statutes Title 32 Sec. 16521 Forgery: The fraudulent signing or alteration of another's name to an instrument such as a deed, mortgage, or check. The intent of the forgery is to deceive or defraud. Source: OCC Fraud: Intentional deception resulting in injury to another. Fund: means the Securities Restitution Assistance Fund established under section 16522. See Maine Revised Statutes Title 32 Sec. 16521 Garnishment: Generally, garnishment is a court proceeding in which a creditor asks a court to order a third party who owes money to the debtor or otherwise holds assets belonging to the debtor to turn over to the creditor any of the debtor Investment adviser: includes a financial planner or other person that, as an integral component of other financially related services, provides investment advice to others for compensation as part of a business or that holds itself out as providing investment advice to others for compensation. See Maine Revised Statutes Title 32 Sec. 16102 Lien: A claim against real or personal property in satisfaction of a debt. Person: means an individual; corporation; business trust; estate; trust; partnership; limited liability company; association; joint venture; government; governmental subdivision, agency or instrumentality; public corporation; or any other legal or commercial entity. See Maine Revised Statutes Title 32 Sec. 16102 public record: means information that is inscribed on a tangible medium or that is stored in an electronic or other medium and is retrievable in perceivable form. See Maine Revised Statutes Title 32 Sec. 16102 Restitution: The court-ordered payment of money by the defendant to the victim for damages caused by the criminal action. Securities violation: means a violation of this chapter and any rules adopted pursuant to this chapter. See Maine Revised Statutes Title 32 Sec. 16521 State: means a state of the United States, the District of Columbia, Puerto Rico, the United States Virgin Islands or any territory or insular possession subject to the jurisdiction of the United States. See Maine Revised Statutes Title 32 Sec. 16102 Victim: means a person that suffered monetary injury as a result of a securities violation and was awarded restitution in a final order. See Maine Revised Statutes Title 32 Sec. 16521 Year: means a calendar year, unless otherwise expressed. See Maine Revised Statutes Title 1 Sec. 72