The following factors will be considered by Agency staff in prioritizing complaints for further investigation:

1. (1) the ongoing nature of the underlying alleged conduct;
2. (2) the amount and degree of financial harm presented by the alleged conduct;
3. (3) extent to which the alleged conduct relates to senior or vulnerable victims;
4. (4) the risk associated with the type of investment product underlying the alleged conduct;
5. (5) the seriousness, nature, circumstances, extent and persistence of the alleged conduct;
6. (6) the history of previous misconduct by the individual or entity alleged to be responsible for the underlying alleged conduct;
7. (7) the availability of Agency resources to pursue investigation of the alleged conduct;
8. (8) the extent another governmental agency or regulatory body is better positioned to investigate the alleged conduct; and
9. (9) such other matters as the facts and circumstances may require.

Source Note:The provisions of this §102.5 adopted to be effective February 27, 2020, 45 TexReg 1218.