A Case Studies
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This document summarizes 10 cases of licensing violations and their penalties. It describes cases involving real estate professionals failing to fulfill duties, medical professionals practicing without proper licenses, and accountants and appraisers violating standards. Penalties included reprimands, fines, suspensions, probations, and license revocations. The purpose is to provide examples of actual administrative rulings on licensing violations.
A Case Studies
- 1. CASE STUDIES NON AWARETM MEMBERS ACTUAL ADMINISTRATIVE DECISIONS1 CASE 391483 – Real Estate Salesperson acting negligently or incompetently in performing an act for which a person is required to hold a real estate license, by failing to take proper steps to ensure that a lease was executed by tenants and delivered to landlord. PENALTY – Agreed reprimand of salesperson license, entered February 20, 2008; Agreed administrative penalty of $300, entered February 20, 2008 CASE 036054529 – Physician and Surgeon for practicing and issuing controlled substance prescriptions on a revoked license. PENALTY – All licenses revoked and fined $5,000 CASE 04608190 – Optometrist for failure to possess ancillary optometrist office license at office where he provided optometric care to a patient. PENALTY – suspended for 21 days, followed by probation for one year and fined $500 CASE 382943 – Real Estate Salesperson failing to complete the mandatory continuing education hours and pay the $200 fee within the 60-day period provided. PENALTY – Agreed reprimand of broker license, entered June 4, 2008; Agreed administrative penalty of $750, entered June 4, 2008 CASE 034016043 – Funeral Director and Embalmer practicing without a license and unprofessional conduct. PENALTY – Placed on probation for two years and fined $250 CASE 261717 – Real Estate Salesperson acting negligently or incompetently; engaging in conduct that is dishonest or that demonstrates untrustworthiness when failing to act fairly and impartially with intermediary parties; failing to make clear to all parties to a real estate transaction the party for whom the license holder is acting by failing to provide an Information About Brokerage Services form and proper intermediary consent; failing to provide, within reasonable time, a record and other information requested by the commission that relates to a formal or informal complaint to the commission that would indicate a violation of this chapter; aiding, abetting, or conspiring with another person to circumvent this chapter by working with other licensees to convince his seller to reject one offer and accept a second offer from a buyer that was also his principal under an improperly-formed intermediary relationship; pursuing a continued and flagrant course of misrepresentation and making false promises. PENALTY – Agreed 30-day suspension of broker license, fully probated for 4 years, effective May 1, 2008; Agreed administrative penalty of $3,690, entered May 1, 2008
- 2. CASE 227009399 – Massage Therapist for a misdemeanor conviction in Texas. PENALTY – Placed on one year non reporting probation CASE 038010386 – Chiropractor using a radiologist license in another state, but not licensed in Illinois, to evaluate Illinois patients. PENALTY – Reprimanded and fined $1,000 CASE 041288122 – Registered Nurse for working as a nurse while his license was in a suspended status. PENALTY – Indefinitely suspended and fined $10,000 CASE 043104881 – Licensed Practical Nurse license for working as a practical nurse prior to receipt of her license and was not otherwise authorized to do so. PENALTY – Reprimanded and fined $1,000 CASE 893561 – Certified Public Accountant practiced with an expired license from September 1, 2001, through June 2, 2002. During that period performed an audit for a nonprofit foster care agency, and the audit report was submitted to the Department of Social Services. Defendant neither admits nor denies, but does not contest, the allegation that when she certified on her renewal dated June 4, 2002, that she had completed the requisite 80 hours of qualifying continuing education, she had in fact completed only 14.5 hours. PENALTY – Revocation stayed, with three years’ probation, via stipulated settlement. Suspension of practice for three months and required to complete 65.5 hours of continuing education, in addition to the 80 hours required for renewal. Reimburse the Board $4,488 for its investigation and prosecution costs. CASE 001912 – Certified Appraisal License. Alleged violations of USPAP S.R. 1 and 2, Conduct Section, Record Keeping Section of the Ethics Rule, Competency Rule: failure in reporting and analyzing the current sale agreement or recent sale and transaction history of the subject property and sale comparables on multiple reports, failure in accurately describing the pertinent property characteristics of the subject property, failure in disclosing significant assistance of another individual in the preparation of the appraisal on multiple reports, failure in submitting true and accurate copies of appraisal reports and work files. PENALTY – Stipulated Settlement, $5,000 fine, $5,000 enforcement costs, revocation stayed, 30 day suspension, 15 hrs. USPAP, 40 hrs basic education, quarterly appraisal logs for three years for monitoring. 1 The source of these examples is various official state administrative websites. The actual postings reference the names of the licensed professional who was the subject of the Administrative Action. www.awaredirect.com