517.121 Books and records requirements; examinations.—(1) A dealer, investment adviser, branch office, associated person, or intermediary shall maintain such books and records as the commission may prescribe by rule.(2) The office shall, at intermittent periods, examine the affairs and books and records of each registered dealer, investment adviser, associated person, intermediary, or branch office notice-filed with the office, or require such records and reports to be submitted to it as required by rule of the commission, to determine compliance with this act.(3) Registration under s. 517.12 or notification under s. 517.1202 may be summarily suspended by the office pursuant to s. 120.60(6) if the registrant or notice-filed branch office fails to promptly provide to the office, after a written request, any of the records required by this section and the rules adopted under this section. The suspension may be rescinded if the registrant or notice-filed branch office submits the requested records to the office. For purposes of s. 120.60(6), failure to provide substantially all of such records constitutes immediate and serious danger to the public health, safety, and welfare.
Section 517.1205
Section 517.1215
20 pages
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Dec 08, 2022
OPEN
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Filing # 140171271 E-Filed 12/11/2021 02:52:28 PM IN THE CIRCUIT COURT OF THE THIRTEENTH JUDICIAL CIRCUIT IN AND FOR HILLSBOROUGH COUNTY, FLORIDA DAVID GIBBS, Case No: 19-CA-013038 an individual, Division: I …
(No Case Name Available)
291 pages
_I **** **** CASE NUMBER: 502023CA014700XXXAMB Div: AA Filing # 183883974 E-Filed 10/12/2023 07:02:10 PM IN THE CIRCUIT COURT OF THE FIFTEENTH JUDICIAL CIRCUIT IN AND FOR PALM BEACH COUNTY, FLORIDA CASE NO.: CHRISTOPHER HUMMEL, Plaintiff, vs. ALLA SARRIS; EMANUEL L. SARRIS, SR.; WAYN…
Oct 12, 2023
Open
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