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                                   Before the

                       Federal Communications Commission

                             Washington, D.C. 20554


                                    )                               
                                                                    
                                    )                               
                                        File No. EB-07-TC-100       
     In the Matter of               )                               
                                        NAL/Acct. No. 200832170001  
     Alliance Capital Corporation   )                               
                                        FRN: 0017025107             
                                    )                               
                                                                    
                                    )                               


                                FORFEITURE ORDER

   Adopted: February 6, 2009 Released: February 6, 2009

   By the Chief, Enforcement Bureau:

   I. INTRODUCTION

   1. In this Forfeiture Order ("Order"), we issue a monetary forfeiture in
   the amount of $4,500 against Alliance Capital Corporation ("Alliance
   Capital") for willful or repeated violations of section 227 of the
   Communications Act of 1934, as amended ("Act"), and the Commission's
   related rules and orders, by delivering at least one unsolicited
   advertisement to the telephone facsimile machine of at least one consumer.

   II. BACKGROUND

   2. The facts and circumstances surrounding this case are set forth in the
   Commission's Notice of Apparent Liability for Forfeiture and need not be
   reiterated at length.

   3. Section 227(b)(1)(C) of the Act makes it "unlawful for any person
   within the United States, or any person outside the United States if the
   recipient is within the United States . . . to use any telephone facsimile
   machine, computer, or other device to send, to a telephone facsimile
   machine, an unsolicited advertisement."  The term "unsolicited
   advertisement" is defined in the Act and the Commission's rules as "any
   material advertising the commercial availability or quality of any
   property, goods, or services which is transmitted to any person without
   that person's prior express invitation or permission in writing or
   otherwise." Under the Commission's rules, an "established business
   relationship" exception permits a party to deliver a message to a consumer
   if the sender has an established business relationship with the recipient
   and the sender obtained the number of the facsimile machine through the
   voluntary communication by the recipient, directly to the sender, within
   the context of the established business relationship, or through a
   directory, advertisement, or a site on the Internet to which the recipient
   voluntarily agreed to make available its facsimile number for public
   distribution.

   4. On January 16, 2007, in response to one or more consumer complaints
   alleging that Alliance Capital had faxed unsolicited advertisements, the
   Enforcement Bureau ("Bureau") issued a citation to Alliance Capital,
   pursuant to section 503(b)(5) of the Act. The Bureau cited Alliance
   Capital for using a telephone facsimile machine, computer, or other
   device, to send unsolicited advertisements, in violation of section 227 of
   the Act and the Commission's related rules and orders. The citation warned
   Alliance Capital that subsequent violations could result in the imposition
   of monetary forfeitures of up to $11,000 per violation, and included a
   copy of the consumer complaints that formed the basis of the citation. The
   citation informed Alliance Capital that within thirty (30) days of the
   date of the citation, it could either request an interview with Commission
   staff, or could provide a written statement responding to the citation.
   Alliance Capital responded to the citation on September 18, 2007.

   5. Following the issuance of the citation, the Commission received at
   least one complaint from a consumer alleging that Alliance Capital faxed
   at least one unsolicited advertisement to that consumer. This violation,
   which occurred after the Bureau's citation, resulted in the issuance of a
   Notice of Apparent Liability for Forfeiture against Alliance Capital on
   January 11, 2008, in the amount of $4,500. The NAL ordered Alliance
   Capital to either pay the proposed forfeiture amount within thirty (30)
   days or submit evidence or arguments in response to the NAL to show that
   no forfeiture should be imposed or that some lesser amount should be
   assessed. Alliance Capital did not respond to the NAL or pay the proposed
   forfeiture amount.

   III. DISCUSSION

   6. Section 503(b) of the Act authorizes the Commission to assess a
   forfeiture for each violation of the Act or of any rule, regulation, or
   order issued by the Commission under the Act by a non-common carrier or
   other entity not specifically designated in section 503 of the Act. The
   maximum penalty for such a violation is $11,000 for a violation occurring
   before September 2, 2008, and $16,000 for a violation occurring on or
   after September 2, 2008. In exercising such authority, we are to take into
   account "the nature, circumstances, extent, and gravity of the violation
   and, with respect to the violator, the degree of culpability, any history
   of prior offenses, ability to pay, and such other matters as justice may
   require."

   7. Although the Commission's Forfeiture Policy Statement does not
   establish a base forfeiture amount for violating the prohibition against
   using a telephone facsimile machine to send unsolicited advertisements,
   the Commission has previously considered $4,500 per unsolicited fax
   advertisement to be an appropriate base amount. We apply that base amount
   to the one apparent violation.

   8. Alliance Capital did not respond to the NAL or pay the proposed
   forfeiture amount. Alliance Capital has failed to identify facts or
   circumstances to persuade us that there is a basis for modifying the
   proposed forfeiture, and we are not aware of any further mitigating
   circumstances sufficient to warrant a reduction of the forfeiture penalty.
   For these reasons, and based on the information before us, we hereby
   impose a total forfeiture of $4,500 for Alliance Capital willful or
   repeated violation of section 227 of the Act and the Commission's related
   rules and orders, as set forth in the NAL.

   IV. ORDERING CLAUSES

   9. Accordingly, IT IS ORDERED, pursuant to section 503(b) of the
   Communications Act of 1934, as amended, 47 U.S.C. S: 503(b), and section
   1.80(f)(4) of the Commission's rules, 47 C.F.R.

   S: 1.80(f)(4), and under authority delegated by sections 0.111, 0.311 of
   the Commission's rules, 47 C.F.R. S:S: 0.111, 0.311, that Alliance Capital
   Corporation, IS LIABLE FOR A MONETARY FORFEITURE to the United States
   Government the sum of $4,500 for willfully and repeatedly violating
   section 227(b)(1)(c) of the Communications Act, 47 U.S.C. S: 227(b)(1)(c),
   section 64.1200(a)(3) of the Commission's rules, 47 C.F.R. S:
   64.1200(a)(3), and the related orders as described in the paragraphs
   above.

   10. Payment of the forfeiture shall be made in the manner provided for in
   section 1.80 of the Commission's rules within thirty (30) days of the
   release of this Order. If the forfeiture is not paid within the period
   specified, the case may be referred to the Department of Justice for
   collection pursuant to section 504(a) of the Act. Payment of the
   forfeiture must be made by check or similar instrument, payable to the
   order of the Federal Communications Commission. The payment must include
   the NAL/Account Number and FRN Number referenced above. Payment by check
   or money order may be mailed to Federal Communications Commission, P.O.
   Box 979088, St. Louis, MO 63197-9000. Payment by overnight mail may be
   sent to U.S. Bank - Government Lockbox #979088, SL-MO-C2-GL, 1005
   Convention Plaza, St. Louis, MO 63101. Payment by wire transfer may be
   made to ABA Number 021030004, receiving bank TREAS/NYC, and account number
   27000001. For payment by credit card, an FCC Form 159 (Remittance Advice)
   must be submitted.  When completing the FCC Form 159, enter the
   NAL/Account number in block number 23A (call sign/other ID), and enter the
   letters "FORF" in block number 24A (payment type code). Alliance Capital
   Corporation will also send electronic notification on the date said
   payment is made to Johnny.drake@fcc.gov. Requests for full payment under
   an installment plan should be sent to:  Chief Financial Officer --
   Financial Operations, 445 12th Street, S.W., Room 1-A625, Washington,
   D.C.  20554.   Please contact the Financial Operations Group Help Desk at
   1-877-480-3201 or Email: ARINQUIRIES@fcc.gov with any questions regarding
   payment procedures. 

   11. IT IS FURTHER ORDERED that a copy of the Forfeiture Order  shall be
   sent by First Class Mail and Certified Mail Return Receipt Requested to
   Alliance Capital Corporation, Attn: Brendan Brownrigg, President, 3415
   South Sepulveda Blvd., Suite 650, Los Angeles, CA 90034.

   FEDERAL COMMUNICATIONS COMMISSION

   Kris Anne Monteith

   Chief, Enforcement Bureau

   47 U.S.C. S: 227.

   See 47 U.S.C. S: 503(b)(1). The Commission has the authority under this
   section of the Act to assess a forfeiture against any person who has
   "willfully or repeatedly failed to comply with any of the provisions of
   this Act or of any rule, regulation, or order issued by the Commission
   under this Act ...."; see also 47 U.S.C. S: 503(b)(5) (stating that the
   Commission has the authority under this section of the Act to assess a
   forfeiture penalty against any person who does not hold a license, permit,
   certificate or other authorization issued by the Commission or an
   applicant for any of those listed instrumentalities so long as such person
   (A) is first issued a citation of the violation charged; (B) is given a
   reasonable opportunity for a personal interview with an official of the
   Commission, at the field office of the Commission nearest to the person's
   place of residence; and (C) subsequently engages in conduct of the type
   described in the citation).

   Alliance Capital Corporation, Notice of Apparent Liability for Forfeiture,
   23 FCC Rcd 156 (Enf.Bur.2008) ("NAL"). In addition, a Forfeiture Order was
   previously released against Alliance Capital on April 22, 2008, in the
   amount of $4,500. Alliance Capital Corporation, Forfeiture Order, 23 FCC
   Rcd 6587 (Enf. Bur. 2008) ("Forfeiture Order").

   47 U.S.C. S: 227(b)(1)(C); 47 C.F.R. S: 64.1200(a)(3).

   See 47 U.S.C. S: 227(a)(4); 47 C.F.R. S: 64.1200(f)(13).

   An "established business relationship" is defined as a prior or existing
   relationship formed by a voluntary two-way communication "with or without
   an exchange of consideration, on the basis of an inquiry, application,
   purchase or transaction by the business or residential subscriber
   regarding products or services offered by such person or entity, which
   relationship has not been previously terminated by either party." 47
   C.F.R. S: 64.1200(f)(5). See also 47 U.S.C. S: 227(a)(2).

   See 47 U.S.C. S: 227(b)(1)(C); 47 C.F.R. S: 64.1200(a)(3)(i), (ii).

   Citation from Kurt A. Schroeder, Deputy Chief, Telecommunications
   Consumers Division, Enforcement Bureau, File No. EB-07-TC-100 issued to
   Alliance Capital on January 16, 2007.

   See 47 U.S.C. S: 503(b)(5) (authorizing the Commission to issue citations
   to persons who do not hold a license, permit, certificate or other
   authorization issued by the Commission or an applicant for any of those
   listed instrumentalities for violations of the Act or of the Commission's
   rules and orders).

   Bureau staff mailed the citation to the following addresses: Alliance
   Capital Corporation, Attn: Brad Johnson, Owner and Chief Financial
   Officer, 8283 North Hayden Road, Suite 248, Scottsdale, AZ 85258 and Post
   Office Box 28155, Scottsdale, AZ 85255.

   On September 18, 2007, Alliance Capital responded to the citation. Darren
   Gardner, Alliance Capital, to Kurt Schroeder, Deputy Chief,
   Telecommunications Consumers Division, Enforcement Bureau, Federal
   Communications Commission, dated September 18, 2007. The response states
   that the complainant identified the wrong party and that Alliance's name
   and phone/fax number were probably obtained by the complainant via the
   internet and provided to the FCC which would correctly lead to its Arizona
   address but that they did not send the faxes. Alliance is not correct.
   While the complainant does provide the FCC with information about the fax
   in question, the FCC also conducts an independent investigation of the
   telephone numbers and companies listed on the fax. Here, the FCC
   concluded, after its investigation, that Alliance Capital was the
   appropriate party to which to send the citation.

   See n.3 supra; see also 47 U.S.C. S: 503(b)(1).

   Alliance Capital contacted the FCC in May of 2008, regarding the NAL and
   the Forfeiture Order. However, Alliance did not file any substantive
   response to the NAL or the Forfeiture Order.

   Section 503(b)(2)(C) provides for forfeitures of up to $10,000 for each
   violation in cases not covered by subparagraph (A) or (B), which address
   forfeitures for violations by licensees and common carriers, among others.
   See 47 U.S.C. S: 503(b). In accordance with the inflation adjustment
   requirements contained in the Debt Collection Improvement Act of 1996,
   Pub. L. 104-134, Sec. 31001, 110 Stat. 1321, the Commission implemented an
   increase of the maximum statutory forfeiture under section 503(b)(2)(C)
   first to $11,000 and more recently to $16,000. See 47 C.F.R. S:1.80(b)(3);
   Amendment of Section 1.80 of the Commission's Rules and Adjustment of
   Forfeiture Maxima to Reflect Inflation, 15 FCC Rcd 18221 (2000)
   (forfeiture maximum for this type of violator set at $11,000); Amendment
   of Section 1.80(b) of the Commission's Rules and Adjustment of Forfeiture
   Maxima to Reflect Inflation, 19 FCC Rcd 10945 (2004) (amendment of section
   1.80(b) to reflect inflation left the forfeiture maximum for this type of
   violator at $11,000); Amendment of Section 1.80(b) of the Commission's
   Rules, Adjustment of Forfeiture Maxima to Reflect Inflation, 23 FCC Rcd
   9845 (2008) (amendment of section 1.80(b) to reflect inflation increased
   the forfeiture maximum for this type of violator to $16,000).

   See 47 U.S.C. S: 503(b)(2)(D); see also The Commission's Forfeiture Policy
   Statement and Amendment of Section 1.80 of the Rules to Incorporate the
   Forfeiture Guidelines, Report and Order, 12 FCC Rcd 17087, 17100-01 para.
   27 (1997) (Forfeiture Policy Statement), recon. denied, 15 FCC Rcd 303
   (1999).

   See  Get-Aways, Inc., Notice of Apparent Liability For Forfeiture, 15 FCC
   Rcd 1805 (1999); Get-Aways, Inc., Forfeiture Order, 15 FCC Rcd 4843
   (2000); see also US Notary, Inc., Notice of Apparent Liability for
   Forfeiture, 15 Rcd 16999 (2000); US Notary, Inc., Forfeiture Order, 16 FCC
   Rcd 18398 (2001); Tri-Star Marketing, Inc., Notice of Apparent Liability
   For Forfeiture, 15 FCC Rcd 11295 (2000); Tri-Star Marketing, Inc.,
   Forfeiture Order, 15 FCC Rcd 23198 (2000).

   47 U.S.C. S: 504(a).

   (...continued from previous page)

                                                              (continued....)

   Federal Communications Commission DA 09-198

                                       1

   Federal Communications Commission DA 09-198