§ 25213
152 words·~1 min read·
/ca/corporations-code/25213A research copy — for the controlling text, always check the official state or federal source. Not legal advice.
The commissioner may, after appropriate notice and opportunity for hearing, by order censure, or suspend for a period not exceeding 12 months, or deny or bar from any position of employment, management or control of any broker-dealer or investment adviser, any officer, director, partner, agent, employee of, or person performing similar functions for, a broker-dealer, or any other person, if the commissioner finds that the censure, suspension, denial, or bar is in the public interest and that the person has committed any act or omission enumerated in subdivision (a), (e), (f), or
(g)of Section 25212 or has been convicted of, or pled nolo contendere to, any offense or been held liable in any civil action specified in subdivision
(b)of Section 25212, or is enjoined from any act, conduct or practice specified in subdivision
(c)of Section 25212 or is subject to any order specified in subdivision
(d)of Section 25212.