The proposed amendments adjust the minimum and maximum disciplinary guidelines to clarify to licensees the ranges of discipline that can be expected if a violation occurs.

 

DEPARTMENT OF BUSINESS AND PROFESSIONAL REGULATION

Board of Auctioneers

RULE NO.:RULE TITLE:

61G2-7.030Disciplinary Guidelines

PURPOSE AND EFFECT: The proposed amendments adjust the minimum and maximum disciplinary guidelines to clarify to licensees the ranges of discipline that can be expected if a violation occurs.

SUMMARY: The proposed amendments reflect changes made to the disciplinary guidelines for Florida’s Auctioneers.

SUMMARY OF STATEMENT OF ESTIMATED REGULATORY COSTS AND LEGISLATIVE RATIFICATION:

The Agency has determined that this will not have an adverse impact on small business or likely increase directly or indirectly regulatory costs in excess of $200,000 in the aggregate within one year after the implementation of the rule. A SERC has not been prepared by the Agency.

The Agency has determined that the proposed rule is not expected to require legislative ratification based on the statement of estimated regulatory costs or if no SERC is required, the information expressly relied upon and described herein: During discussion of the economic impact of this rule at its Board meeting, the Board, based upon the expertise and experience of its members, determined that a Statement of Estimated Regulatory Costs (SERC) was not necessary and that the rule will not require ratification by the Legislature. No person or interested party submitted additional information regarding the economic impact at that time.

Any person who wishes to provide information regarding a statement of estimated regulatory costs, or provide a proposal for a lower cost regulatory alternative must do so in writing within 21 days of this notice.

RULEMAKING AUTHORITY: 456.079, 456.47(4), 456.47(7), 484.005. FS.

LAW IMPLEMENTED: 455.227, 455.2273, (3), 468.389 FS.

IF REQUESTED WITHIN 21 DAYS OF THE DATE OF THIS NOTICE, A HEARING WILL BE SCHEDULED AND ANNOUNCED IN THE FAR.

THE PERSON TO BE CONTACTED REGARDING THE PROPOSED RULE IS: Amanda Ackermann, Auctioneers’ Board, 2601 Blair Stone Road, Tallahassee, Florida 32399-0771.

 

THE FULL TEXT OF THE PROPOSED RULE IS:

61G2-7.030 Disciplinary Guidelines.

(1) When the Board finds that an applicant or licensee whom it regulates under chapter 468, part VI, F.S., has committed any of the acts set forth in section 468.389, F.S., it shall issue a final order imposing appropriate penalties within the ranges recommended in the following disciplinary guidelines:

 

VIOLATION	PENALTY RANGE
	FIRST OFFENSE	SECOND AND SUBSEQUENT  OFFENSES
(a) Violation of any law relating to trade or commerce of this state or of the state in which an auction is conducted.	The usual penalty shall be: 1st offense -an administrative fine up to $500, probation and the successful completion of the licensure exam;	2nd offense -an administrative fine from $500 to $1,000 and license suspension or revocation;	3rd offense -an administrative fine of $1,000 and license revocation.
	An administrative fine of up to $1,000 and the successful completion of the licensure exam.	An administrative fine of $500 to $2,500 and/or license suspension or revocation.
(b) Misrepresentation of property for sale at auction or making false promises concerning the use, value, or condition of such property by an auctioneer or auction business or by anyone acting as an agent of or with the consent of the auctioneer or auction business.	The usual penalty shall be: 1st offense -administrative fine up to $500, a reprimand and probation and/or license suspension;	2nd offense -an administrative fine of $500 to $1,000 and suspension;	3rd offense -an administrative fine of $1,000 and license revocation.
	Administrative fine up to $1,000, a reprimand and probation and/or license suspension.	Administrative fine of $1,000 to $5,000 and/or license suspension or revocation.
(c) Failure to account for money belonging to another which has come into the control of an auctioneer or auction business through an auction, within a reasonable time not to exceed 30 days.	The usual penalty shall be: 1st offense -an administrative fine of $100 to $500 and a reprimand;	2nd offense -an administrative fine of $500 to $1,000, probation and successful completion of the licensure examination;	3rd offense -an administrative fine of $1,000 and license revocation.
	Administrative fine of $250 to $1,000, a reprimand, and/or license suspension.	Administrative fine of $1,000 to $5,000, probation, successful completion of the licensure examination, and/or license suspension or revocation.
(d) Failure to pay money belonging to another which has come into the control of an auctioneer or auction business through an auction, within a reasonable time not to exceed 30 days.	The usual penalty shall be: 1st offense -an administrative fine of $500 to $1,000, probation and/or license suspension;	2nd offense -an administrative fine of $1,000, suspension;	3rd offense -an administrative fine of $1,000 and license revocation.
	An administrative fine of $500 to $1,000, probation, and/or license suspension or revocation.	Administrative fine of $1,000 to $5,000 and/or license suspension or revocation.
(e) False, deceptive, misleading, or untruthful advertising.	The usual penalty shall be: 1st offense -an administrative fine of $100 to $500 and probation;	2nd offense -an administrative fine of $500 to $1,000 and license suspension;	3rd offense -an administrative fine of $1,000 and license revocation.
	An administrative fine of $250 to $1,000 and/or probation.	Administrative fine of $500 to $2,500 and/or license suspension or revocation.
(f) Conduct in connection with a sales transaction which demonstrates bad faith or dishonesty.	The usual penalty shall be: 1st offense -an administrative fine of $1,000 and license suspension followed by probation;	2nd offense -an administrative fine of $1,000, license suspension followed by probation and an increase in the amount of bond required;	3rd offense -an administrative fine of $1,000 and license revocation.
	An administrative fine of $1,000 to $2,500 and/or license suspension followed by probation.	An administrative fine of $2,500 to $5,000 and/or license suspension or license revocation.
(g) Using or permitting the use of false bidders, cappers, or shills.	The usual penalty shall be: 1st offense -an administrative fine of $1,000 and license suspension followed by probation;	2nd offense -an administrative fine of $1,000, license suspension followed by probation;	3rd offense -an administrative fine of $1,000 and license revocation.
	An administrative fine of $1,000 to $2,500 and/or license suspension followed by probation.	An administrative fine of $2,500 to $5,000 and/or license suspension followed by probation or license revocation.
(h) Making any material false statement on a license application.	The usual penalty shall be denial of license or revocation of license and an administrative fine of $1,000.
	Denial or revocation of license and/or an administrative fine of $1,000 to $2,500.
(i) Commingling money or property of another person with his own.	The usual penalty shall be: 1st offense -an administrative fine of $100 to $500 and a reprimand;	2nd offense -an administrative fine of $500 to $1,000, probation and successful completion of the licensure examination;	3rd offense -an administrative fine of $1,000 and license revocation.
	An administrative fine of up to $1,000 and a reprimand.	Administrative fine of up to $2,500, successful completion of the licensure examination and/or license suspension or revocation.
(j) Refusal or neglect of any auctioneer or other receiver of public moneys to pay the moneys so received into the State Treasury at the times and under the regulations prescribed by law.	The usual penalty shall be: 1st offense -an administrative fine of $500 to $1,000, probation and/or license suspension;	2nd offense -an administrative fine of $1,000, license suspension;	3rd offense -an administrative fine of $1,000 and license revocation.
	An administrative fine of $1,000 to $2,500, probation, and/or license suspension or revocation.
(k) Violating any provision of chapter 468, part VI, F.S., chapter 455, F.S., any rule of the Board or Department.	The usual penalty shall be selected from the full range of penalties available to the Board and will be based upon the severity of the underlying offense.
	An administrative fine of $500 to $1,500, probation, license suspension, and/or license revocation based on the severity of the underlying offense.
(l) Violating any lawfully issued order of the Board or Department previously entered in a disciplinary hearing, or failure to comply with a lawfully issued subpoena of the Department.	The usual penalty shall be an administrative fine of $1,000 and license suspension or revocation.
	An administrative fine of $1,000 to $2,500 and/or license suspension or revocation.
(m) Having a license to practice a comparable profession revoked, suspended, or otherwise acted against by another state, territory, or county.	The usual penalty shall be commensurate with the penalty invoked by the other jurisdiction or a penalty consistent with these guidelines for the underlying offense committed in the other jurisdiction.
(n) Being convicted or found guilty, regardless of adjudication, of a crime in any jurisdiction which directly relates to the practice or the ability to practice the profession of auctioneering.	The usual penalty shall be an administrative fine of $1,000 and license suspension or revocation.
	An administrative fine of $1,000 to $2,500 and/or license suspension or revocation.
(o) Failing to timely report in writing to the board within 30 days after the licensee is convicted or found guilty of, or entered a plea of nolo contendere or guilty to, regardless of adjudication, a crime in any jurisdiction:	1. FIRST OFFENSE: a. Misdemeanor: A fine from $100.00 to $250.00; probation not to exceed 6 months. b. Felony: reprimand: a fine from $500.00 to $1,000.00; suspension with conditions of reinstatement or revocation.	2. SECOND OFFENSE: a. Misdemeanor: reprimand; a fine from $500.00 to $1000.00; a period of suspension with conditions for reinstatement or revocation. b. Felony: revocation and a fine of $1000.00.	3. THIRD OFFENSE: a third misdemeanor offense shall be a fine of $1000.00 and revocation.
	a. Misdemeanor: A fine from $250.00 to $500.00; probation not to exceed 6 months. b. Felony: reprimand; a fine from $500.00 to $1,000.00; suspension with conditions of reinstatement or revocation.	a. Misdemeanor: reprimand; a fine from $500.00 to $1,000.00; and/or a period of suspension with conditions for reinstatement or revocation. b. Felony: a fine from $1,000.00 to $2,500.00 and/or license suspension or revocation.

 

 

(2) Based upon consideration of aggravating or mitigating factors, present in an individual case, the Board may deviate from the penalties recommended in subsection (1), above. The Board shall consider as aggravating or mitigating factors the following:

(a) – (n) No Change.

(o) Penalties imposed for related offenses under subsection (1), above.;

(p) Any other relevant mitigating or aggravating factors under the circumstances.

(3) No change.

Rulemaking Authority 455.2273(1), 455.273(2), 468.384(2) FS. Law Implemented 455.227, 455.2273(1), (2), (3), 468.389 FS. History–New 12-6-87, Formerly 21BB-1.030, 21BB-7.030, Amended 8-29-93, 12-23-12, 2-20-19,___ .

 

NAME OF PERSON ORIGINATING PROPOSED RULE: Board of Auctioneers

NAME OF AGENCY HEAD WHO APPROVED THE PROPOSED RULE: Board of Auctioneers

DATE PROPOSED RULE APPROVED BY AGENCY HEAD: May 22, 2020

DATE NOTICE OF PROPOSED RULE DEVELOPMENT PUBLISHED IN FAR: August 12, 2020