On notice and hearing as provided in § 11-416 of this subtitle, the Commissioner may fine any broker-dealer, agent, investment adviser, or investment adviser representative up to a maximum amount of $5,000 for any single violation of this title.
Structure Maryland Statutes
Title 11 - Maryland Securities Act
Section 11-401 - Transaction of Business by Unregistered Person Unlawful
Section 11-402 - Agent Required to Be Registered
Section 11-405 - Application; Effective Date of Registration
Section 11-406 - Renewal Registration
Section 11-409 - Capital and Financial Requirements
Section 11-411 - Post-Registration Provisions
Section 11-412 - Denial, Revocation, or Suspension of Registration
Section 11-413 - Summary Postponement or Suspension
Section 11-414 - Cancellation of Registration or Application; Abandonment of Notice Filing
Section 11-415 - Withdrawal From Registration