The Disciplinary Process

What is the first step of the disciplinary process?

Once your matter has been assigned to a staff attorney, from an investigator, you will be given notice as to what happens next by the staff attorney. Be careful because, often times, licensees move residences and offices and forget to notify the Department. This will result in a Default Suspension if you don’t respond to the notice. The notice will either be a “disciplinary conference” notice to meet with your designated board related to your license, or an actual formal complaint. A formal complaint will include a preliminary hearing date to appear in front of an administrative law judge for an initial status date. A “disciplinary conference” notice sounds worse than it is because of the use of the word “disciplinary.” It is still, however, an opportunity on the licensees’ part to meet on an “informal” basis with a staff attorney and a board member. The focus will be on trying to resolve the matter without having IDFPR file a formal complaint. If a formal complaint is filed, there is still an opportunity on most occasions to meet “informally.” Should this occur, an appearance must be made in front of an administrative law judge. The judge will answer the complaint and set your matter for a hearing if it cannot be resolved in the “informal stage.”

What is the “informal process”?

If you are given a notice of Disciplinary Conference, it is highly recommended that you appear at the scheduled date and time. Not only can you dispose of your matter without a formal complaint at this point, but you can prevent a formal complaint from being filed against your license. The notice will inform the allegations against you and provide you with a list of documents to bring, at the time. You will need to meet with a staff attorney and a member of the board designated for your license. Information, relevant to your case, must be provided and questions answered in an effort to have the matter closed. If the case cannot be closed, there are disciplinary settlement options such as a fine, reprimand, a probation, and a suspension. Most licensees will tell you that having legal counsel at this stage is imperative. If your case is closed, you will not have to deal with the Department unless you receive a “letter of concern.” This letter is mailed to your address and not posted on the Department website. Any other forms of discipline are negotiated into a stipulation called a “consent order.” The consent order is signed by Illinois Department of Financial and Professional Regulation, you, and your legal counsel. A consent order is reportable to the IDFPR website and any other national practitioner databases.

What is a Disciplinary Conference (also known as an Informal Conference)?

This is a meeting between yourself, an attorney for the Department and a member of the Disciplinary Board. At this meeting, you will have an opportunity to explain your side of the story, and the goal is to try to convince the Department to drop your case. The Conference is not a hearing. There is no court reporter, and there is no witness testimony. The Conference is essentially a conversation between you and the Board Member about the complaint against you.

How do I prepare myself for a Disciplinary or Informal Conference?

The answer to this question is to simply prepare yourself the same way you would prepare yourself for a formal hearing. The Department often times uses the “Informal” process to intimidate and encourage licensees to settle cases without having to put in the time and resources of having to prepare itself for a formal hearing. In doing so, it has every expectation that you provide it with a full an accurate defense to its allegations in the “Informal” stage. Furthermore, during the informal process there is always a member of your disciplinary board present at your conference who will be the same board member who will be advising the entire board if your matter results in a formal hearing. It is crucial to provide your attorney with any and all documentation sent to you by the Department and any and all relevant documentation relevant to it allegations. If your licensing attorney has not prepared you for an informal proceeding as if it was a “formal” hearing then you have most likely hired the wrong attorney.

Can I be disciplined for matters that are not work related?

The answer to this question is yes. Each and every licensee can be disciplined for any conduct outside of their place of employment including but not limited to criminal activity, failure to pay income taxes, failure to pay child support and the use of drugs and alcohol in an abusive manner. However, there is a level of due process that each and every individual enjoys under the Constitution and all of its amendments regarding activity that occurs away from the workplace environment.

The Disciplinary Process

What is the first step of the disciplinary process?

Once your matter has been assigned to a staff attorney, from an investigator, you will be given notice as to what happens next by the staff attorney. Be careful because, often times, licensees move residences and offices and forget to notify the Department. This will result in a Default Suspension if you don’t respond to the notice. The notice will either be a “disciplinary conference” notice to meet with your designated board related to your license, or an actual formal complaint. A formal complaint will include a preliminary hearing date to appear in front of an administrative law judge for an initial status date. A “disciplinary conference” notice sounds worse than it is because of the use of the word “disciplinary.” It is still, however, an opportunity on the licensees’ part to meet on an “informal” basis with a staff attorney and a board member. The focus will be on trying to resolve the matter without having IDFPR file a formal complaint. If a formal complaint is filed, there is still an opportunity on most occasions to meet “informally.” Should this occur, an appearance must be made in front of an administrative law judge. The judge will answer the complaint and set your matter for a hearing if it cannot be resolved in the “informal stage.”

What is the “informal process”?

If you are given a notice of Disciplinary Conference, it is highly recommended that you appear at the scheduled date and time. Not only can you dispose of your matter without a formal complaint at this point, but you can prevent a formal complaint from being filed against your license. The notice will inform the allegations against you and provide you with a list of documents to bring, at the time. You will need to meet with a staff attorney and a member of the board designated for your license. Information, relevant to your case, must be provided and questions answered in an effort to have the matter closed. If the case cannot be closed, there are disciplinary settlement options such as a fine, reprimand, a probation, and a suspension. Most licensees will tell you that having legal counsel at this stage is imperative. If your case is closed, you will not have to deal with the Department unless you receive a “letter of concern.” This letter is mailed to your address and not posted on the Department website. Any other forms of discipline are negotiated into a stipulation called a “consent order.” The consent order is signed by Illinois Department of Financial and Professional Regulation, you, and your legal counsel. A consent order is reportable to the IDFPR website and any other national practitioner databases.

What is a Disciplinary Conference (also known as an Informal Conference)?

This is a meeting between yourself, an attorney for the Department and a member of the Disciplinary Board. At this meeting, you will have an opportunity to explain your side of the story, and the goal is to try to convince the Department to drop your case. The Conference is not a hearing. There is no court reporter, and there is no witness testimony. The Conference is essentially a conversation between you and the Board Member about the complaint against you.

How do I prepare myself for a Disciplinary or Informal Conference?

The answer to this question is to simply prepare yourself the same way you would prepare yourself for a formal hearing. The Department often times uses the “Informal” process to intimidate and encourage licensees to settle cases without having to put in the time and resources of having to prepare itself for a formal hearing. In doing so, it has every expectation that you provide it with a full an accurate defense to its allegations in the “Informal” stage. Furthermore, during the informal process there is always a member of your disciplinary board present at your conference who will be the same board member who will be advising the entire board if your matter results in a formal hearing. It is crucial to provide your attorney with any and all documentation sent to you by the Department and any and all relevant documentation relevant to it allegations. If your licensing attorney has not prepared you for an informal proceeding as if it was a “formal” hearing then you have most likely hired the wrong attorney.

Can I be disciplined for matters that are not work related?

The answer to this question is yes. Each and every licensee can be disciplined for any conduct outside of their place of employment including but not limited to criminal activity, failure to pay income taxes, failure to pay child support and the use of drugs and alcohol in an abusive manner. However, there is a level of due process that each and every individual enjoys under the Constitution and all of its amendments regarding activity that occurs away from the workplace environment.