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administrator determines, as to all the facts and | circumstances concerning a matter to be investigated or about | which an action or proceeding is to be instituted; and |
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| C.__Publish a record concerning an action, proceeding or | investigation under, or a violation of, this chapter or a | rule adopted or order issued under this chapter if the | administrator determines it is necessary or appropriate in | the public interest and for the protection of investors. |
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| | 2.__Administrator powers to investigate.__For the purpose of | an investigation under this chapter, the administrator or the | administrator's designated officer may administer oaths and | affirmations, subpoena witnesses, seek compulsion of attendance, | take evidence, require the filing of statements and require the | production of any records that the administrator considers | relevant or material to the investigation.__It is unlawful to | fail to provide any statement or record if requested. |
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| | 3.__Procedure and remedies for noncompliance.__If a person | does not appear or refuses to testify, file a statement or | produce records or otherwise does not obey a subpoena as required | by the administrator under this chapter, the administrator may | request that the Attorney General apply to either the Superior | Court located in Kennebec County or the Superior Court where | service may be obtained on the person refusing to testify or | produce or a court of another state to enforce compliance. The | court may: |
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| A.__Hold the person in contempt; |
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| B.__Order the person to appear before the administrator; |
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| C.__Order the person to testify about the matter under | investigation or in question; |
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| D.__Order the production of records; |
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| E.__Grant injunctive relief, including restricting or | prohibiting the offer or sale of securities or the providing | of investment advice; |
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| F.__Impose a civil fine not to exceed $10,000 per violation; | and |
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| G.__Grant any other necessary or appropriate relief. |
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| | 4.__Application for relief.__This section does not preclude a | person from applying to the Superior Court located in Kennebec | County or a court of another state for relief from a request to |
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