§ 78C-39. Criminal penalties. - North Carolina Statutes

§ 78C‑39.  Criminalpenalties.

(a)        Any person whowillfully violates any provision of this Chapter except G.S. 78C‑8(a)(1),78C‑8(a)(2), 78C‑8(b), or 78C‑9 is guilty of a Class Ifelony.

(a1)      Any person whowillfully violates any rule or order under this Chapter is guilty of a Class Ifelony. No person may be imprisoned for the violation of any rule if the personproves that the person had no knowledge of the rule. It is an affirmativedefense to a charge of violating an order under this Chapter that the personhad no knowledge of the order.

(a2)      Any person whowillfully violates G.S. 78C‑8(a)(1), 78C‑8(a)(2), or 78C‑8(b)is guilty of a felony. If the losses caused, directly or indirectly, by theviolator for a single act or for a series of related acts in a common scheme orplan is one hundred thousand dollars ($100,000) or more, the person is guiltyof a Class C felony. If the losses caused, directly or indirectly, by theviolator for a single act or for a series of related acts in a common scheme orplan is less than one hundred thousand dollars ($100,000), the person is guiltyof a Class H felony.

(a3)      Any person whowillfully violates G.S. 78C‑9 knowing the statement made to be false ormisleading in any material respect is guilty of a Class H felony. Any otherwillful violation of G.S. 78C‑9 constitutes a Class 2 misdemeanor.

(a4)      A person is guiltyof a Class H felony if the person willfully does any of the following for thepurpose of interfering with the performance of any audit, examination, orinvestigation by the Administrator under this Chapter:

(1)        Makes or causes tobe made to the Administrator or the Administrator's designated representativeany false or misleading oral or written statement.

(2)        Creates, causes tobe made, or delivers any record, report, or document knowing that it is falseor misleading in any material respect.

(3)        Destroys or altersany record, report, or document.

(4)        Conceals or secretesany record, report, or document.

(b)        The Administratormay refer such evidence as is available concerning violations of this Chapteror of any rule or order hereunder to the proper district attorney, who may,with or without such a reference, institute the appropriate criminalproceedings under this Chapter. Upon receipt of a reference, the districtattorney may request that a duly employed attorney of the Administratorprosecute or assist in the prosecution of the violation or violations on behalfof the State. Upon approval of the Administrator, the employee may be appointeda special prosecutor for the district attorney to prosecute or assist in theprosecution of the violations without receiving compensation from the districtattorney. Such a special prosecutor shall have all the powers and dutiesprescribed by law for district attorneys and such other powers and duties asare lawfully delegated to the special prosecutor by the district attorney forviolations of this Chapter.

(c)        Nothing in thisChapter limits the power of the State to punish any person for any conductwhich constitutes a crime by statute or at common law. (1987 (Reg. Sess., 1988), c.1098, s. 1; 1991, c. 456, s. 9; 2003‑413, s. 25.)