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administrator may not enter an order against an applicant or | licensee under this paragraph without a finding of insolvency | as to the applicant or licensee; |
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| H.__Refuses to allow or otherwise impedes the administrator | from conducting an audit or inspection under section 16411, | subsection 4 or refuses access to a licensee's office to | conduct an audit or inspection under section 16411, | subsection 4; |
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| I.__Has failed to reasonably supervise an agent, investment | adviser representative or other individual if the agent, | investment adviser representative or other individual was | subject to the person's supervision and committed a | violation of this chapter or the predecessor act or a rule | adopted or order issued under this chapter or the | predecessor act or engaged in conduct that would be grounds | for discipline under this subsection within the previous 10 | years; |
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| J.__Is subject to an order entered by a court of competent | jurisdiction or entered after notice and opportunity for | hearing by a federal or state licensing agency denying, | suspending, revoking or restricting the person's license to | sell real estate, insurance or any investment other than | securities, provided that the order resulted from | allegations of misconduct. This paragraph also applies when | the denial, suspension, revocation or restriction of the | license is pursuant to a consent agreement between the | person and the licensing agency, whether or not the agency | also issues an order; |
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| K.__After notice and opportunity for a hearing, has been | found within the previous 10 years: |
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| (1) By a court of competent jurisdiction to have | intentionally and knowingly violated the laws of a | foreign jurisdiction under which the business of | securities, commodities, investment, franchises, | insurance, banking or finance is regulated; |
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| (2) To have been the subject of an order of a | securities regulator of a foreign jurisdiction denying, | revoking or suspending the right to engage in the | business of securities as a broker-dealer, agent, | investment adviser, investment adviser representative | or similar person; or |
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| (3) To have been suspended or expelled from membership by or | participation in a securities exchange or |
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