Here is the SEC's legal ORDER against Blum and his Alexander Lindale llc.
UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No. 68258 / November 19, 2012 INVESTMENT COMPANY ACT OF 1940 Release No. 30269 / November 19, 2012 ADMINISTRATIVE PROCEEDING File No. 3-14961 ___________________________________ In the Matter of : ORDER MAKING FINDINGS : AND IMPOSING REMEDIAL WILFRED R. BLUM and : SANCTIONS BY DEFAULT ALEXANDER LINDALE, LLC : ___________________________________
Order I ORDER that, pursuant to Section 15(b) of the Securities Exchange Act of 1934, Wilfred R. Blum and Alexander Lindale, LLC, are barred from association with a broker, dealer, investment adviser, municipal securities dealer, or transfer agent, or from participating in an offering of penny stock. I FURTHER ORDER that, pursuant to Section 9(b) of the Investment Company Act of 1940, Wilfred R. Blum and Alexander Lindale, LLC, are unconditionally and permanently prohibited from serving or acting as an employee, officer, director, member of an advisory board, investment adviser or depositor of, or principal underwriter for, a registered investment company or affiliated person of such investment adviser, depositor, or principal underwriter. _______________________________ Brenda P. Murray Chief Administrative Law Judge
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