Reasons for Disciplining an Agent
According to the Uniform Securities Act, agents may be disciplined for the same reasons as broker-dealers, investment advisers, and investment adviser representatives, assuming the order is in the public interest, including:
- 1. Filing Incomplete Paperwork
- 2. Willfully Violating State or Federal Securities Regulations, including the Uniform Securities Act
- 3. Within the Last 10 years, Having Prior Felony Convictions or Securities Related Misdemeanors
- 4. Receiving Court-Ordered Limitations
- 5. Rec