Utah Code » Title 61, Chapter 1 — Utah Uniform Securities Act
Utah Code

Utah Code § 61-1-20 (2026)

Enforcement

✓ current as of May 2026
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Whenever it appears to the director that a person has engaged, is engaging, or is about to engage in an act or practice constituting a violation of this chapter or a rule or order under this chapter, in addition to specific powers granted in this chapter:
the director may issue an order directing the person to appear before the commission and show cause why an order should not be issued directing the person to cease and desist from engaging in the act or practice, or doing an act in furtherance of the activity;
the order to show cause shall state the reasons for the order and the date of the hearing;
the director shall promptly serve a copy of the order to show cause upon a person named in the order;
the commission shall hold a hearing on the order to show cause no sooner than 10 business days after the order is issued;
after a hearing, the commission may:
issue an order to cease and desist from engaging in an act or practice constituting a violation of this chapter or a rule or order under this chapter;
impose a fine in an amount determined after considering the factors set forth in Section 61-1-31;
order disgorgement;
order restitution;
order rescission;
bar or suspend that person from associating with a licensed broker-dealer or investment adviser in this state; and
impose a combination of sanctions in this Subsection (1)(e).
The director may bring an action in the appropriate court of this state or the appropriate court of another state to enjoin an act or practice and to enforce compliance with this chapter or a rule or order under this chapter.
Upon a proper showing in an action brought under this section, the court may:
issue a permanent or temporary, prohibitory or mandatory injunction;
issue a restraining order or writ of mandamus;
enter a declaratory judgment;
appoint a receiver or conservator for the defendant or the defendant's assets;
order disgorgement;
order rescission;
order restitution;
impose a fine in an amount determined after considering the factors set forth in Section 61-1-31; and
enter any other relief the court considers just.
The court may not require the division to post a bond in an action brought under this Subsection (2).
An order issued under Subsection (1) shall be accompanied by written findings of fact and conclusions of law.
When determining the severity of a sanction to be imposed under this section, the commission or court shall consider whether:
the person against whom the sanction is to be imposed exercised undue influence; or
the person against whom the sanction is imposed under this section knows or should know that an investor in the investment that is the grounds for the sanction is a vulnerable adult.
Notes of Decisions
Cited in 29 cases (23 in the last 5 years), 1989–2021 · leading case: State v. Bushman, 2010 UT App 120 (Utah Ct. App. 2010).
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State v. Bushman, 2010 UT App 120 (Utah Ct. App. 2010). · cites it 19× “See Utah Code Ann. § 61-1-20 (Supp.2009) (authorizing agency enforcement of securities regulations); id.”
MacK v. Utah State Dep't of Com., 2009 UT 47 (Utah 2009). · cites it 6× “Utah Code Ann. § 61-1-20 (1) (2006). Under the same section, the Division may also bring an action in district court to enforce compliance with the Act or any rule made pursuant to the Act.”
Phillips v. Dep't of Com., Div. of Sec., 2017 UT App 84 (Utah Ct. App. 2017). · cites it 3× “Utah Code Ann. § 61-1-20 (2) (LexisNexis 2011).”
Capital Gen. Corp. v. Dep't of Bus. Reg., 837 P.2d 568 (Utah Ct. App. 1992). · cites it 4× “See Utah Code Ann. § 61-1-20 (l)(a)-(d) (1986).”
Capital Gen. Corp. v. Utah Dep't of Bus. Reg., Sec. Div., 777 P.2d 494 (Utah Ct. App. 1989). · cites it 2× “The Board has the power to remedy a violation of § 61-1-7 under § 61-1-20, which includes the power to issue an order of similar legal effect to the order involved here.”
Klein v. Shepard (D. Utah 2021). · cites it 2× “Utah Code section 61-1-20 allows for the imposition of administrative sanctions .”
Klein v. Turner (D. Utah 2021). · cites it 2× “Utah Code section 61-1-20 allows for the imposition of administrative sanctions .”
Klein v. Kerr (D. Utah 2021). · cites it 2× “Utah Code section 61-1-20 allows for the imposition of administrative sanctions .”
Klein v. Jones (D. Utah 2021). · cites it 2× “By contrast, Utah Code section 61-1-21 allows for criminal penalties for securities violations only for actions that are willful or knowing.”); State v.”
Klein v. Roe (D. Utah 2021). · cites it 2× “Utah Code section 61-1-20 allows for the imposition of administrative sanctions .”
Klein v. Newman (D. Utah 2021). · cites it 2× “Utah Code section 61-1-20 allows for the imposition of administrative sanctions .”
Klein v. Brennan (D. Utah 2021). · cites it 2× “Utah Code section 61-1-20 allows for the imposition of administrative sanctions .”
Show all 29 citing cases →
— Utah Code § 61-1-20(1) — 2 cases
Phillips v. Dep't of Com., Div. of Sec., 2017 UT App 84 (Utah Ct. App. 2017). “Utah Code Ann. § 61-1-20 (2) (LexisNexis 2011).”
Ashton v. Dep't of Com., 2019 UT App 170 (Utah Ct. App. 2019).
— Utah Code § 61-1-20(1)(e)(ii) — 1 case
Ashton v. Dep't of Com., 2019 UT App 170 (Utah Ct. App. 2019).
— Utah Code § 61-1-20(2) — 1 case
MacK v. Utah State Dep't of Com., 2009 UT 47 (Utah 2009). “Utah Code Ann. § 61-1-20 (1) (2006). Under the same section, the Division may also bring an action in district court to enforce compliance with the Act or any rule made pursuant to the Act.”
— Utah Code § 61-1-20(2)(b) — 1 case
State v. Bushman, 2010 UT App 120 (Utah Ct. App. 2010). “See Utah Code Ann. § 61-1-20 (Supp.2009) (authorizing agency enforcement of securities regulations); id.”
— Utah Code § 61-1-20(2)(b)(vii) — 1 case
State v. Bushman, 2010 UT App 120 (Utah Ct. App. 2010). “See Utah Code Ann. § 61-1-20 (Supp.2009) (authorizing agency enforcement of securities regulations); id.”
— Utah Code § 61-1-20(2)(b)(viii) — 1 case
State v. Bushman, 2010 UT App 120 (Utah Ct. App. 2010). “See Utah Code Ann. § 61-1-20 (Supp.2009) (authorizing agency enforcement of securities regulations); id.”
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