69I-20.078. Aggravating and Mitigating Factors

(1) It is the Florida Legislature’s intent that minor violations be distinguished from serious violations. A specific finding of mitigating or aggravating circumstances shall allow the Department to impose a penalty other than that provided for in the stated penalty guidelines.

(2) The variation and range of penalties permitted are as follows:

(a)1. A suspension may be reduced to a fine equivalent to $500 to $1,000 for each month of suspension.

2. A total penalty dollar amount may be reduced by up to 50%.

3. A reduction of the penalty may be done only once for each act, transaction or occurrence in violation of the Florida Disposition of Unclaimed Property Act, Chapter 717, F.S.

(b)1. A suspension of 2 years or more may be increased to a revocation.

2. The total dollar penalty amount may be increased by up to 50%; provided that the stated penalty dollar amount shall not exceed the maximum statutory amount for each act, transaction or occurrence.

3. An increase of the penalty may be done only once for each act, transaction or occurrence in violation of the Florida Disposition of Unclaimed Property Act, Chapter 717, F.S.

(3) Aggravating and mitigating factors for penalties assessed under Rules 69I-20.075 and 69I-20.076, F.A.C., and Sections 717.117(3), 717.119(5)(c), and 717.134, F.S.:

(a) Willfulness of person’s conduct;

(b) Degree of actual injury to victim;

(c) Degree of potential injury to victim;

(d) Age or capacity of victim;

(e) Timely restitution;

(f) Motivation of person;

(g) Financial gain or loss to person;

(h) Cooperation with the Department;

(i) Related criminal charge; disposition;

(j) Previous disciplinary orders or prior warning by the Department;

(k) The amount of the claim involved;

(l) The complexity of locating the owner;

(m) The steps taken to ensure the accuracy of the claim by the person filing the claim;

(n) The acts of commission and omission of the ultimate owners in establishing themselves as rightful owners of the funds;

(o) The acts of commission or omission of the agent or employee of an employer in the filing of the claim;

(p) The actual knowledge of the agent, employee, employer, or owner in the filing of the claim;

(q) The departure, if any, by the agent or employee from the internal controls and procedures established by the employer with regard to the filing of a claim;

(r) The number of defective claims previously filed by the agent, employee, employer, or owner; and

(s) Other relevant factors.

(4) Aggravating and mitigating factors for penalties assessed under Rule 69I-20.077, F.A.C.:

(a) Number of years that have passed since criminal proceeding;

(b) Age of person at time the crime was committed;

(c) Whether the person served time in jail;

(d) Whether or not the person violated criminal probation;

(e) Whether or not the person is still on criminal probation;

(f) Whether or not the person’s actions or behavior resulted in substantial injury to victim;

(g) Whether or not restitution was, or is being timely paid;

(h) Whether or not the person’s civil rights have been restored; and

(i) Other relevant factors.

Rulemaking Authority 717.138 FS. Law Implemented 717.101, 717.102, 717.103, 717.1035, 717.104, 717.1045, 717.105, 717.106, 717.107, 717.1071, 717.108, 717.109, 717.1101, 717.111, 717.112, 717.113, 717.115, 717.116, 717.117, 717.119, 717.124, 717.12404, 717.12405, 717.1261, 717.1262, 717.1301(1), 717.1311, 717.1315, 717.132, 717.1322, 717.1323, 717.134, 717.1341, 717.135, 717.1351, 717.1381, 717.1400 FS. History–New 1-3-05.