COUNT I (CASE NO. 19-055) - Respondent is charged with failing to diligently exercise reasonable skill and care in supervising a licensee employed by the Respondent, by failing to properly assign a salesperson to his firm in violation of Iowa Code sections 543B.2, 543B.5(20), 543B.33, 543B.34(1), 543B.62(3)(b) (2018). See 193E Iowa Administrative Code sections 7.1(7), 7.11, 18.2(1), 18.14(5)(s).
