7 Tex. Admin. Code § 102.5 - Prioritization of Complaint Investigations

The following factors will be considered by Agency staff in prioritizing complaints for further investigation:

(1) the ongoing nature of the underlying alleged conduct;

(2) the amount and degree of financial harm presented by the alleged conduct;

(3) extent to which the alleged conduct relates to senior or vulnerable victims;

(4) the risk associated with the type of investment product underlying the alleged conduct;

(5) the seriousness, nature, circumstances, extent and persistence of the alleged conduct;

(6) the history of previous misconduct by the individual or entity alleged to be responsible for the underlying alleged conduct;

(7) the availability of Agency resources to pursue investigation of the alleged conduct;

(8) the extent another governmental agency or regulatory body is better positioned to investigate the alleged conduct; and

(9) such other matters as the facts and circumstances may require.

Notes

7 Tex. Admin. Code § 102.5

Adopted by Texas Register, Volume 45, Number 08, February 21, 2020, TexReg 1218, eff. 2/27/2020