Current through Register Vol. XLI, No. 50, December 13, 2024
Section 174-4-4 - Disposition of Complaints4.1. The Commission may upon its own motion and shall upon the filing of a complaint by any person setting forth a cause of action under W. Va. Code '30-40-1, et seq., or the rules promulgated thereunder, ascertain the facts and if warranted hold a hearing to determine whether disciplinary action should be imposed against a licensee.4.2. The Commission will consider complaints of alleged violations of W. Va. Code '30-40-1, et seq., and the rules promulgated thereunder, only when they are submitted in writing on forms supplied by the Commission and set forth all details of the transaction, giving full names of all persons having knowledge of such transactions, together with specific addresses, dates, monetary amounts involved, copies of contracts, closing statements, correspondence and other pertinent documents and information. Only in this way can the Commission handle such matters expediently and satisfactorily.4.3. Upon initiation or receipt of the complaint, the Commission shall provide a copy of the complaint to the licensee for his or her response to the allegations contained in the complaint. The accused party shall file an answer within twenty days of the date of service. Failure of the licensee to file a timely response may be considered an admission of the allegations in the complaint: Provided, That nothing contained herein shall prohibit the accused party from obtaining an extension of time to file a response, if the Commission, its Executive Director or other authorized representative permits the extension.4.4. Requests for a response to the allegations contained in a complaint, or requests for additional information will be considered properly served when sent to the licensee=s last known address. It is the responsibility of the licensee or applicant to keep the Commission informed of his or her current address.4.5. After receiving the licensee=s response to the complaint and reviewing any information obtained through investigation, the Commission shall determine if probable cause exists that the licensee has violated any provision of W. Va. Code '30-40-1, et seq., the rules promulgated thereunder, or any order or final decision issued by the Commission.4.6. Investigation of complaints 4.6.a. The Commission may, upon receipt of a complaint or upon its own motion, review and investigate alleged acts or omissions which the Commission reasonably believes constitute cause for disciplinary action. In order to determine if probable cause exists for a hearing on a complaint, the Executive Director, investigator(s) designated by Commission staff, or the chairperson of the Commission shall cause an investigation to be made into the allegations of the complaint. If the Commission determines that the complaint does not present facts which constitute a basis for disciplinary action, the Commission shall take no further action.4.6.b. In connection with the investigation of a complaint, the Commission is authorized to subpoena witnesses, books, papers, records and any other evidence to help it determine whether a contested case proceeding should be instituted.4.6.c. Every licensee has an affirmative duty to assist the Commission, or its authorized representative, in investigations performed by the Commission.4.6.d. Upon completion of the investigation, the Commission may: 4.6.d.1. Order the matter to be further investigated;4.6.d.2. Allow the licensee, who is the subject of the complaint, an opportunity to appear before the Commission for an informal discussion regarding the facts and circumstances of the alleged violations;4.6.d.3. Determine there is no probable cause to believe a disciplinary violation has occurred and close the case; or4.6.d.4. Determine there is probable cause to believe that a disciplinary violation has occurred and proceed with a contested case hearing or dispose of the matter through a consent agreement or otherwise.