Statutes > Illinois Statutes > CHAPTER 225 PROFESSIONS AND OCCUPATIONS > 225 ILCS 407/ Auction License Act. > Article 20 - Disciplinary Provisions

Article 20 - Disciplinary Provisions


      (225 ILCS 407/Art. 20 heading)
ARTICLE 20. DISCIPLINARY PROVISIONS

    (225 ILCS 407/20‑5)
    (Section scheduled to be repealed on January 1, 2020)
    Sec. 20‑5. Unlicensed practice; civil penalty.
    (a) Any person who practices, offers to practice, attempts to practice, or holds oneself out to practice as an auctioneer, an auction firm, or any other licensee under this Act without being licensed under this Act shall, in addition to any other penalty provided by law, pay a civil penalty to the Department in an amount not to exceed $10,000 for each offense as determined by the Department. The civil penalty fine shall be assessed by the Department after a hearing is held in accordance with the provisions set forth in this Act regarding a hearing for the discipline of a license.
    (b) The Department has the authority and power to investigate any and all unlicensed activity pursuant to this Act.
    (c) The civil penalty shall be paid within 60 days after the effective date of the order imposing the civil penalty. The order shall constitute a judgment and may be filed and execution had thereon in the same manner from any court of record.
    (d) Conducting an auction or providing an auction service in Illinois without holding a valid and current license under this Act is declared to be adverse to the public welfare, to constitute a public nuisance, and to cause irreparable harm to the public welfare. The Secretary, the Attorney General, the State's Attorney of any county in the State, or any other person may maintain an action in the name of the People of the State of Illinois and may apply for injunctive relief in any circuit court to enjoin the person or entity from engaging in such practice.
    Upon the filing of a verified petition in a circuit court, the court, if satisfied by affidavit or otherwise that the person or entity has been engaged in the practice of auctioning without a valid and current license, may enter a temporary restraining order without notice or bond enjoining the defendant from further practice. Only the showing of non‑licensure, by affidavit or otherwise, is necessary in order for a temporary injunction to be issued. A copy of the verified complaint shall be served upon the defendant and the proceedings shall thereafter be conducted as in other civil cases except as modified by this Section. If it is established that the defendant has been or is engaged in unlawful practice, the court may enter an order or judgment perpetually enjoining the defendant from further practice. In all proceedings hereunder, the court, in its discretion, may apportion the costs among the parties interested in the action, including cost of filing the complaint, service of process, witness fees and expenses, court reporter charges, and reasonable attorneys' fees. In case of violation of any injunctive order entered under the provisions of this Section, the court may summarily try and punish the offender for contempt of court. These injunction proceedings shall be in addition to, and not in lieu of, all penalties and other remedies provided in this Act.
(Source: P.A. 95‑572, eff. 6‑1‑08; 96‑730, eff. 8‑25‑09.)

    (225 ILCS 407/20‑10)
    (Section scheduled to be repealed on January 1, 2020)
    Sec. 20‑10. Violations. The commission of a single act prohibited by this Act or prohibited by the rules promulgated under this Act or a violation of a disciplinary order issued under this Act constitutes a violation of this Act.
(Source: P.A. 91‑603, eff. 1‑1‑00.)

    (225 ILCS 407/20‑15)
    (Section scheduled to be repealed on January 1, 2020)
    Sec. 20‑15. Disciplinary actions; grounds. The Department may refuse to issue or renew a license, may place on probation or administrative supervision, suspend, or revoke any license or may reprimand or take other disciplinary or non‑disciplinary action as the Department may deem proper, including the imposition of fines not to exceed $10,000 for each violation upon anyone licensed under this Act for any of the following reasons:
        (1) False or fraudulent representation or material
     misstatement in furnishing information to the Department in obtaining or seeking to obtain a license.
        (2) Violation of any provision of this Act or the
     rules promulgated pursuant to this Act.
        (3) Conviction of or entry of a plea of guilty or
     nolo contendere to any crime that is a felony under the laws of the United States or any state or territory thereof, or that is a misdemeanor, an essential element of which is dishonesty, or any crime that is directly related to the practice of the profession.
        (4) Being adjudged to be a person under legal
     disability or subject to involuntary admission or to meet the standard for judicial admission as provided in the Mental Health and Developmental Disabilities Code.
        (5) Discipline of a licensee by another state, the
     District of Columbia, a territory of the United States, a foreign nation, a governmental agency, or any other entity authorized to impose discipline if at least one of the grounds for that discipline is the same as or the equivalent to one of the grounds for discipline set forth in this Act or for failing to report to the Department, within 30 days, any adverse final action taken against the licensee by any other licensing jurisdiction, government agency, law enforcement agency, or court, or liability for conduct that would constitute grounds for action as set forth in this Act.
        (6) Engaging in the practice of auctioneering,
     conducting an auction, or providing an auction service without a license or after the license was expired, revoked, suspended, or terminated or while the license was inoperative.
        (7) Attempting to subvert or cheat on the auctioneer
     exam or any continuing education exam, or aiding or abetting another to do the same.
        (8) Directly or indirectly giving to or receiving
     from a person, firm, corporation, partnership, or association a fee, commission, rebate, or other form of compensation for professional service not actually or personally rendered, except that an auctioneer licensed under this Act may receive a fee from another licensed auctioneer from this State or jurisdiction for the referring of a client or prospect for auction services to the licensed auctioneer.
        (9) Making any substantial misrepresentation or
     untruthful advertising.
        (10) Making any false promises of a character likely
     to influence, persuade, or induce.
        (11) Pursuing a continued and flagrant course of
     misrepresentation or the making of false promises through a licensee, agent, employee, advertising, or otherwise.
        (12) Any misleading or untruthful advertising, or
     using any trade name or insignia of membership in any auctioneer association or organization of which the licensee is not a member.
        (13) Commingling funds of others with his or her own
     funds or failing to keep the funds of others in an escrow or trustee account.
        (14) Failure to account for, remit, or return any
     moneys, property, or documents coming into his or her possession that belong to others, acquired through the practice of auctioneering, conducting an auction, or providing an auction service within 30 days of the written request from the owner of said moneys, property, or documents.
        (15) Failure to maintain and deposit into a special
     account, separate and apart from any personal or other business accounts, all moneys belonging to others entrusted to a licensee while acting as an auctioneer, associate auctioneer, auction firm, or as a temporary custodian of the funds of others.
        (16) Failure to make available to Department
     personnel during normal business hours all escrow and trustee records and related documents maintained in connection with the practice of auctioneering, conducting an auction, or providing an auction service within 24 hours after a request from Department personnel.
        (17) Making or filing false records or reports in
     his or her practice, including but not limited to false records or reports filed with State agencies.
        (18) Failing to voluntarily furnish copies of all
     written instruments prepared by the auctioneer and signed by all parties to all parties at the time of execution.
        (19) Failing to provide information within 30 days
     in response to a written request made by the Department.
        (20) Engaging in any act that constitutes a
     violation of Section 2‑102, 3‑103, or 3‑105 of the Illinois Human Rights Act.
        (21) (Blank).
        (22) Engaging in dishonorable, unethical, or
     unprofessional conduct of a character likely to deceive, defraud, or harm the public.
        (23) Offering or advertising real estate for sale or
     lease at auction without a valid broker or salesperson's license under the Real Estate License Act of 1983, or any successor Act, unless exempt from licensure under the terms of the Real Estate License Act of 2000, or any successor Act.
        (24) Inability to practice the profession with
     reasonable judgement, skill, or safety as a result of a physical illness, including, but not limited to, deterioration through the aging process or loss of motor skill, or a mental illness or disability.
        (25) A pattern of practice or other behavior that
     demonstrates incapacity or incompetence to practice under this Act.
        (26) Being named as a perpetrator in an indicated
     report by the Department of Children and Family Services under the Abused and Neglected Child Reporting Act and upon proof by clear and convincing evidence that the licensee has caused a child to be an abused child or a neglected child as defined in the Abused and Neglected Child Reporting Act.
        (27) Inability to practice with reasonable judgement,
     skill, or safety as a result of habitual or excessive use or addiction to alcohol, narcotics, stimulants, or any other chemical agent or drug.
        (28) Wilfully failing to report an instance of
     suspected child abuse or neglect as required by the Abused and Neglected Child Reporting Act.
    The entry of an order by a circuit court establishing
     that any person holding a license under this Act is subject to involuntary admission or judicial admission, as provided for in the Mental Health and Developmental Disabilities Code, operates as an automatic suspension of that license. That person may have his or her license restored only upon the determination by a circuit court that the patient is no longer subject to involuntary admission or judicial admission and the issuance of an order so finding and discharging the patient and upon the Board's recommendation to the Department that the license be restored. Where circumstances so indicate, the Board may recommend to the Department that it require an examination prior to restoring a suspended license.
    If the Department or Board finds an individual unable to
     practice because of the reasons set forth in this Section, the Department or Board may require that individual to submit to care, counseling, or treatment by physicians approved or designated by the Department or Board, as a condition, term, or restriction for continued, reinstated, or renewed licensure to practice; or, in lieu of care, counseling, or treatment, the Department may file, or the Board may recommend to the Department to file, a complaint to immediately suspend, revoke, or otherwise discipline the license of the individual. An individual whose license was granted, continued, reinstated, renewed, disciplined or supervised subject to such terms, conditions, or restrictions, and who fails to comply with such terms, conditions, or restrictions, shall be referred to the Secretary for a determination as to whether the individual shall have his or her license suspended immediately, pending a hearing by the Department. In instances in which the Secretary immediately suspends a person's license under this Section, a hearing on that person's license must be convened by the Department within 21 days after the suspension and completed without appreciable delay. The Department and Board shall have the authority to review the subject individual's record of treatment and counseling regarding the impairment to the extent permitted by applicable federal statutes and regulations safeguarding the confidentiality of medical records.
    An individual licensed under this Act and affected under
     this Section shall be afforded an opportunity to demonstrate to the Department or Board that he or she can resume practice in compliance with acceptable and prevailing standards under the provisions of his or her license.
    In enforcing this Section, the Department or Board, upon
     a showing of a possible violation, may compel an individual licensed to practice under this Act, or who has applied for licensure under this Act, to submit to a mental or physical examination, or both, as required by and at the expense of the Department. The Department or Board may order the examining physician to present testimony concerning the mental or physical examination of the licensee or applicant. No information shall be excluded by reason of any common law or statutory privilege relating to communications between the licensee or applicant and the examining physician. The examining physicians shall be specifically designated by the Board or Department. The individual to be examined may have, at his or her own expense, another physician of his or her choice present during all aspects of this examination. Failure of an individual to submit to a mental or physical examination when directed shall be grounds for suspension of his or her license until the individual submits to the examination, if the Department finds that, after notice and hearing, the refusal to submit to the examination was without reasonable cause.
(Source: P.A. 95‑572, eff. 6‑1‑08; 96‑730, eff. 8‑25‑09.)

    (225 ILCS 407/20‑20)
    (Section scheduled to be repealed on January 1, 2020)
    Sec. 20‑20. Termination without hearing for failure to pay taxes, child support, or a student loan. The Department may terminate or otherwise discipline any license issued under this Act without hearing if the appropriate administering agency provides adequate information and proof that the licensee has:
        (1) failed to file a return, to pay the tax,
     penalty, or interest shown in a filed return, or to pay any final assessment of tax, penalty, or interest, as required by any tax act administered by the Illinois Department of Revenue until the requirements of the tax act are satisfied;
        (2) failed to pay any court ordered child support as
     determined by a court order or by referral from the Department of Healthcare and Family Services (formerly Illinois Department of Public Aid); or
        (3) failed to repay any student loan or assistance
     as determined by the Illinois Student Assistance Commission.
    If a license is terminated or otherwise disciplined
     pursuant to this Section, the licensee may request a hearing as provided by this Act within 30 days of notice of termination or discipline.
(Source: P.A. 95‑331, eff. 8‑21‑07; 95‑572, eff. 6‑1‑08.)

    (225 ILCS 407/20‑25)
    (Section scheduled to be repealed on January 1, 2020)
    Sec. 20‑25. Investigation. The Department may investigate the actions or qualifications of any person or persons holding or claiming to hold a license under this Act.
(Source: P.A. 95‑572, eff. 6‑1‑08.)

    (225 ILCS 407/20‑30)
    (Section scheduled to be repealed on January 1, 2020)
    Sec. 20‑30. Consent orders. Notwithstanding any provisions concerning the conduct of hearings and recommendations for disciplinary actions, the Department has the authority to negotiate agreements with licensees and applicants resulting in disciplinary consent orders. The consent orders may provide for any form of discipline provided for in this Act. The consent orders shall provide that they were not entered into as a result of any coercion by the Department. Any consent order shall be accepted by or rejected by the Secretary in a timely manner.
(Source: P.A. 95‑572, eff. 6‑1‑08.)

    (225 ILCS 407/20‑35)
    (Section scheduled to be repealed on January 1, 2020)
    Sec. 20‑35. Subpoenas; attendance of witnesses; oaths.
    (a) The Department shall have the power to issue subpoenas ad testificandum (subpoena for documents) and to bring before it any persons and to take testimony, either orally or by deposition or both, with the same fees and mileage and in the same manner as prescribed in civil cases in the courts of this State. The Department shall have the power to issue subpoenas duces tecum and to bring before it any documents, papers, files, books, and records with the same costs and in the same manner as prescribed in civil cases in the courts of this State.
    (b) Any circuit court may, upon application of the Department or its designee or of the applicant, licensee, or person holding a certificate of licensure against whom proceedings under this Act are pending, enter an order compelling the enforcement of any Department subpoena issued in connection with any hearing or investigation.
    (c) The Secretary or his or her designee or the Board shall have power to administer oaths to witnesses at any hearing that the Department is authorized to conduct and any other oaths authorized in any Act administered by the Department.
(Source: P.A. 95‑572, eff. 6‑1‑08.)

    (225 ILCS 407/20‑40)
    (Section scheduled to be repealed on January 1, 2020)
    Sec. 20‑40. Hearings; record of hearings.
    (a) The Department shall have the authority to conduct hearings on proceedings to revoke, suspend, place on probation or administrative review, reprimand, or refuse to issue or renew any license under this Act or to impose a civil penalty not to exceed $10,000 upon any licensee under this Act.
    (b) The Department, at its expense, shall preserve a record of all proceedings at the formal hearing of any case. The notice of hearing, complaint, all other documents in the nature of pleadings, written motions filed in the proceedings, the transcripts of testimony, the report of the Board, and orders of the Department shall be in the record of the proceeding. The Department shall furnish a transcript of such record to any person interested in such hearing upon payment of the fee required under Section 2105‑115 of the Department of Professional Regulation Law (20 ILCS 2105/2105‑115).
(Source: P.A. 95‑572, eff. 6‑1‑08; 96‑730, eff. 8‑25‑09.)

    (225 ILCS 407/20‑43)
    (Section scheduled to be repealed on January 1, 2020)
    Sec. 20‑43. Investigations; notice and hearing. The Department may investigate the actions of any applicant or person rendering or offering to render auction services, or holding or claiming to hold a license as a licensed auctioneer. At least 30 days before any disciplinary hearing under this Act, the Department shall: (i) notify the accused in writing of the charges made and the time and place of the hearing; (ii) direct the accused to file with the Board a written answer under oath to the charges within 20 days of receiving service of the notice; and (iii) inform the accused that if he or she fails to file an answer to the charges within 20 days of receiving service of the notice, a default judgement may be entered against him or her, or his or her license may be suspended, revoked, placed on probationary status, or other disciplinary action taken with regard to the license as the Department may consider proper, including, but not limited to, limiting the scope, nature, or extent of the licensee's practice, or imposing a fine.
    At the time and place of the hearing fixed in the notice, the Board shall proceed to hear the charges and the accused or his or her counsel shall be accorded ample opportunity to present any pertinent statements, testimony, evidence, and arguments in his or her defense. The Board may continue the hearing when it deems it appropriate.
    Written notice of the hearing may be served by personal delivery or by certified mail to the last known address of record, unless specified as otherwise by the accused in his or her last communication with the Department.
(Source: P.A. 96‑730, eff. 8‑25‑09.)

    (225 ILCS 407/20‑45)
    Sec. 20‑45. (Repealed).
(Source: P.A. 95‑572, eff. 6‑1‑08. Repealed by P.A. 96‑730, eff. 8‑25‑09.)

    (225 ILCS 407/20‑50)
    (Section scheduled to be repealed on January 1, 2020)
    Sec. 20‑50. Findings and recommendations. At the conclusion of the hearing, the Board shall present to the Secretary a written report of its findings of fact, conclusions of law, and recommendations. The report shall contain a finding whether or not the accused person violated this Act or any rules promulgated pursuant to this Act. The Board shall specify the nature of any violations and shall make its recommendations to the Secretary. In making recommendations for any disciplinary action, the Board may take into consideration all facts and circumstances bearing upon the reasonableness of the conduct of the accused, including, but not limited to, previous discipline of the accused by the Department, intent, degree of harm to the public and likelihood of future harm to the public, any restitution made by the accused, and whether the incident or incidents contained in the complaint appear to be isolated or represent a continuing pattern of conduct. In making its recommendations for discipline, the Board shall endeavor to ensure that the severity of the discipline recommended is reasonably proportional to the severity of the violation.
    The report of the Board's findings of fact, conclusions of law, and recommendations shall be the basis for the Department's decision to refuse to issue, restore, or renew a license, or to take any other disciplinary action. If the Secretary disagrees with the recommendations of the Board, the Secretary may issue an order in contravention of the Board recommendations. The report's findings are not admissible in evidence against the person in a criminal prosecution brought for a violation of this Act, but the hearing and findings are not a bar to a criminal prosecution for the violation of this Act.
    If the Secretary disagrees in any regard with the report of the Advisory Board, the Secretary may issue an order in contravention of the report. The Secretary shall provide a written report to the Advisory Board on any deviation and shall specify with particularity the reasons for that action in the final order.
(Source: P.A. 95‑572, eff. 6‑1‑08; 96‑730, eff. 8‑25‑09.)

    (225 ILCS 407/20‑55)
    (Section scheduled to be repealed on January 1, 2020)
    Sec. 20‑55. Appointment of a hearing officer. The Secretary has the authority to appoint any attorney licensed to practice law in the State of Illinois to serve as the hearing officer in any action for refusal to issue, restore, or renew a license or to discipline a licensee. The hearing officer has full authority to conduct the hearing. Any Board member may attend hearings. The hearing officer shall report his or her findings of fact, conclusions of law, and recommendations to the Board. The Board shall review the report of the hearing officer and present its findings of fact, conclusions of law, and recommendations to the Secretary and to all parties to the proceedings.
    If the Secretary disagrees with the recommendations of the Board or hearing officer, the Secretary may issue an order in contravention of the Board's recommendations.
(Source: P.A. 95‑572, eff. 6‑1‑08; 96‑730, eff. 8‑25‑09.)

    (225 ILCS 407/20‑56)
    (Section scheduled to be repealed on January 1, 2020)
    Sec. 20‑56. Board; rehearing. At the conclusion of the hearing, a copy of the Board's report shall be served upon the applicant or licensee by the Department, either personally or as provided in this Act for the service of a notice of hearing. Within 20 days after service, the applicant or licensee may present to the Department a motion in writing for a rehearing, which shall specify the particular grounds for rehearing. The Department may respond to the motion for rehearing within 20 days after its service on the Department. If no motion for rehearing is filed, then upon the expiration of the time specified for filing such a motion, or if a motion for rehearing is denied, then upon denial, the Secretary may enter an order in accordance with recommendations of the Board except as provided in Section 120 of this Act. If the applicant or licensee orders from the reporting service and pays for a transcript of the record within the time for filing a motion for rehearing, the 20‑day period within which a motion may be filed shall commence upon the delivery of the transcript to the applicant or licensee.
(Source: P.A. 96‑730, eff. 8‑25‑09.)

    (225 ILCS 407/20‑60)
    (Section scheduled to be repealed on January 1, 2020)
    Sec. 20‑60. Order; certified copy. An order or a certified copy of an order, over the seal of the Department and purporting to be signed by the Secretary or his or her designee, shall be prima facie proof that:
        (1) the signature is the genuine signature of the
     Secretary or his or her designee;
        (2) the Secretary is duly appointed and qualified;
     and
        (3) the Advisory Board is duly appointed and
     qualified.
(Source: P.A. 95‑572, eff. 6‑1‑08.)

    (225 ILCS 407/20‑65)
    (Section scheduled to be repealed on January 1, 2020)
    Sec. 20‑65. Restoration of license. At any time after the suspension or revocation of any license, the Department may restore the license to the accused person upon the written recommendation of the Advisory Board, unless after an investigation and a hearing the Advisory Board determines that restoration is not in the public interest.
(Source: P.A. 95‑572, eff. 6‑1‑08.)

    (225 ILCS 407/20‑70)
    (Section scheduled to be repealed on January 1, 2020)
    Sec. 20‑70. Surrender of license. Upon the revocation or suspension of any license the licensee shall immediately surrender the license to the Department. If the licensee fails to do so, the Department shall have the right to seize the license.
(Source: P.A. 95‑572, eff. 6‑1‑08