Proceedings against licensees

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  • (a) Any proceedings against a licensee or registrant shall be brought on by written complaint, which shall include a statement setting forth in ordinary and concise language the charges and the acts or omissions supporting such charges.

  • (b) Upon filing of the complaint the Commission shall serve a copy upon the licensee or registrant either personally or by certified mail to his address on file with the Commission.

  • (c) Within 15 days after service upon him of the complaint, the licensee or registrant may file with the Commission a notice of defense, in which he may:

    • (1) Request a hearing;

    • (2) Admit the accusation in whole or in part;

    • (3) Present new matters or explanations by way of defense; or

    • (4) State any legal objections to the complaint.

      Within the time specified, the licensee or registrant may file one or more notices of defense upon any or all of the above grounds.
  • (d) The licensee or registrant shall be entitled to a hearing on the merits if he files the required notice of defense within the time allowed by subsection (c) of this section, and any such notice shall be deemed a specific denial of all parts of the complaint not expressly admitted. Failure to timely file the required notice of defense or to appear at the hearing shall constitute an admission of all matters and facts contained in the complaint and a waiver of the licensee's or registrant's rights to a hearing, but the Commission, in its discretion, may nevertheless order a hearing. All affirmative defenses shall be specifically stated, and unless objection is taken as provided in paragraph (4) of subsection (c) of this section, all objections to the form of the complaint shall be deemed waived.

  • (e) The Commission shall determine the time and place of the hearing as soon as is reasonably practical after receiving the licensee's or registrant's notice of defense. The Commission shall deliver or send by certified mail a notice to all parties at least 10 days prior to the hearing. Unless the licensee or registrant consents, the hearing shall not be held prior to the expiration time within which the licensee or registrant is entitled to file the notice of defense.

  • (f) Prior to a hearing before the Commission, and during a hearing upon reasonable cause shown, the Commission shall issue subpoenas and subpoenas duces tecum at the request of a licensee, registrant, or the Division.


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