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.
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