Statute · California Corporations Code
Cal. Corp. Code § 25213 — Licensing of Agents and Broker-Dealers
Cal. Corp. Code § 25213
- Type
- Statute
- Source
- California Corporations Code
- Jurisdiction
- California
- Date
- 2003-01-01
- Current through
- Nov 2, 2026 (California Legislative Counsel)
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,…
Citator
Cal. Corp. Code § 25213 — Licensing of Agents and Broker-Dealers is in force in the current edition of the Code, and nothing recorded condemns it.
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.