It is unlawful for any person, in connection with the offer, sale, or purchase of any security, directly or indirectly to: (1) Employ any device, scheme, or artifice to defraud; (2) Make any untrue statement of a material fact or omit to state a material fact necessary in order to make the statements made, in the light […]
(a) It is unlawful for any person who receives, directly or indirectly, any consideration from another person for advising the other person as to the value of securities or their purchase or sale, or for acting as an investment adviser or representative under § 11–101(i) and (j) of this title, whether through the issuance of analyses, […]
It is unlawful for any person to make or cause to be made, in any document filed with the Commissioner or in any proceeding under this title, any statement which is, at the time and in the light of the circumstances under which it is made, false or misleading in any material respect.
(a) (1) Neither the fact that an application for registration under Subtitle 4 of this title or a registration statement or notice filing under Subtitle 5 of this title has been filed, nor the fact that a person or security is effectively registered constitutes a finding by the Commissioner that any document filed under this title is […]
(a) It is unlawful for any person to use a senior or retiree credential or designation in a way that is or would be misleading in connection with: (1) The offer, sale, or purchase of securities; (2) Receiving, directly or indirectly, any consideration from another person for advising the other person as to the value of securities or […]
A person who engages in the business of effecting transactions in securities for the account of others or for the person’s own account or who acts as a broker–dealer or agent may not engage in dishonest or unethical practices in the securities or investment advisory business.
(a) (1) In this section the following words have the meanings indicated. (2) “Eligible adult” means an individual who resides in the State and is: (i) At least 65 years old; or (ii) A vulnerable adult. (3) “Financial exploitation” means: (i) The wrongful or unauthorized taking, withholding, appropriation, or use of money, assets, or property of an eligible adult; or (ii) An act […]
