RCW 21.20.395
Administrative action—Hearing—Judicial review—Judgment.
(1) A person who, in an administrative action by the director, is found to have knowingly or recklessly violated any provision of this chapter, or any rule or order under this chapter, may be fined, after notice and opportunity for hearing, in an amount not to exceed ten thousand dollars for each violation.
(2) A person who, in an administrative action by the director, is found to have knowingly or recklessly violated an administrative order issued under RCW 21.20.110 or 21.20.390 shall pay an administrative fine in an amount not to exceed twenty-five thousand dollars for each violation.
(3) The fines paid under subsections (1) and (2) of this section shall be deposited into the securities prosecution fund.
(4) If a petition for judicial review has not been timely filed under RCW 34.05.542(2), a certified copy of the director's order requiring payment of the fine may be filed in the office of the clerk of the superior court in any county of this state. The clerk shall treat the order of the director in the same manner as a judgment of the superior court. The director's order so filed has the same effect as a judgment of the superior court and may be recorded, enforced, or satisfied in like manner.
[ 2003 c 288 § 6; 1998 c 15 § 18.]
Structure Revised Code of Washington
Title 21 - Securities and Investments
Chapter 21.20 - Securities Act of Washington.
21.20.010 - Unlawful offers, sales, purchases.
21.20.020 - Unlawful acts of person advising another.
21.20.030 - Unlawful acts of investment adviser.
21.20.035 - Unlawful purchases or sales for customer's account.
21.20.037 - Variable contracts—Registration required—Rules.
21.20.040 - Registration and notification required—Exemptions.
21.20.050 - Application for registration—Filing of documents—Consent to service of process—Fee.
21.20.060 - Contents of application for registration—Capital requirements.
21.20.070 - When registration effective—Requirements determined by rule.
21.20.090 - Renewal of registration—Financial reports—Application for a successor.
21.20.130 - Cancellation of registration or application—Grounds.
21.20.135 - License as salesperson or broker-dealer prerequisite to suit for commission.
21.20.140 - Unlawful to offer or sell unregistered securities—Exceptions.
21.20.180 - Registration by coordination—Requirements—Statement, contents.
21.20.210 - Registration by qualification—Statements—Requirements—Audits.
21.20.220 - Information not required when nonissuer distribution.
21.20.230 - Time of taking effect of registration statement by qualification—Conditions.
21.20.240 - Registration statements—Generally.
21.20.250 - Registration by qualification or coordination—Escrow—Impounding proceeds.
21.20.260 - Registration by coordination or qualification—Offer and sale—Duration of effectiveness.
21.20.270 - Reports by filer of statement—Annual financial statements.
21.20.275 - Pending registration—Notice of termination—Application for continuation.
21.20.280 - Stop orders—Grounds.
21.20.290 - Stop order prohibited if facts known on effective date of statement.
21.20.300 - Notification of entry of stop order—Hearing—Findings, conclusions, modification, etc.
21.20.310 - Securities exempt from registration.
21.20.320 - Exempt transactions.
21.20.325 - Denial, revocation, condition, of exemptions—Authority—Procedure.
21.20.327 - Required filings—Consent to service—Failure to comply—Rules—Fees.
21.20.330 - Consent to service of process—Service, how made.
21.20.350 - False or misleading statements in filed documents.
21.20.377 - Subpoena authority—Application—Contents—Notice—Fees.
21.20.380 - Oaths—Subpoenas—Assisting another state—Compelling obedience—Punishment.
21.20.395 - Administrative action—Hearing—Judicial review—Judgment.
21.20.400 - Penalty for violation of chapter—Limitation of actions.
21.20.420 - Criminal punishment, chapter not exclusive.
21.20.430 - Civil liabilities—Survival, limitation of actions—Waiver of chapter void—Scienter.
21.20.435 - Assurance of discontinuance of violations—Acceptance—Filing.
21.20.440 - Judicial review of order—Modification of order by director on additional evidence.
21.20.460 - Administrator of securities—Appointment, qualifications, term, etc.
21.20.470 - Compensation, travel expenses of administrator and employees.
21.20.480 - Unlawful use or disclosure of filed information.
21.20.490 - No liability under chapter for act in good faith.
21.20.500 - Administrative hearings public—Exception.
21.20.510 - Document filed when received—Register—Inspection of register, information, etc.
21.20.520 - Copies of entries, documents to be furnished—Copies as prima facie evidence.
21.20.530 - Interpretative opinions by director.
21.20.540 - Exemptions, exceptions, and preemptions—Burden of proof.
21.20.700 - Investigations and examinations—Additional authority—Scope.
21.20.702 - Suitability of recommendation—Reasonable grounds required.
21.20.810 - Application of chapter not limited.
21.20.855 - Examination reports and information—Exempt from public disclosure—Use in civil actions.
21.20.860 - Construction—Chapter applicable to state registered domestic partnerships—2009 c 521.
21.20.880 - Small securities offerings—Exemptions—Annual reports—Disqualification provisions—Rules.
21.20.900 - Construction to secure uniformity.
21.20.910 - Saving—Civil, criminal proceedings.
21.20.915 - Saving—Prior effective registrations.
21.20.920 - Application of prior law.
21.20.925 - Judicial review of prior administrative orders.
21.20.930 - Solicitation permits under insurance laws not limited.