Alabama Administrative Code › Title 150 - ALABAMA STATE BOARD OF AUCTIONEERS › Chapter 150-X-1 - RULES AND REGULATIONS › Section 150-X-1-.11 - Violations

Current through Register Vol. 42, No. 9, June 28, 2024
(a) The board may
			 revoke or suspend licenses and/or levy and collect administrative fines for
			 serious violations of the Alabama Auctioneers Licensing Act or the rules and
			 regulations of the board of not less than two hundred dollars ($200) and not
			 more than five hundred ($500) for each violation, as provided in Section
			 34-4-29,
Code of Ala. 1975
.
(b) Before denying an application for
			 licensure or suspending or revoking any license, the board shall hold a hearing
			 and shall, at least twenty-one (21) days prior to the date set for the hearing,
			 notify the applicant or licensee in writing of the charges made or the question
			 to be determined, including notice of the time and place of the hearing, and
			 afford the applicant or licensee an opportunity to be present, be heard in
			 person or by counsel, and to offer evidence orally, or by affidavit or
			 deposition. Written notice may be served by delivery of the notice personally
			 to the applicant or licensee or by mailing the notice by registered or
			 certified mail to the last known mailing address of the applicant or licensee.
			 If the applicant or licensee is an apprentice auctioneer, the board shall also
			 notify the auctioneer employing him or her, or whose employ he or she is about
			 to enter, by mailing notice by registered or certified mail to the auctioneer's
			 last known address. The hearing shall be held at a time and place prescribed by
			 the board.
(c) Upon a finding of a
			 violation(s) of the Alabama Auctioneers Licensing Act or the rules and
			 regulations of the board following proper notice and a hearing, which shall be
			 conducted in accordance with the provisions of the Alabama Administrative
			 Procedure Act, a license may be denied, suspended or revoked and/or an
			 administrative fine levied for any of the following:
1. Making any substantial
			 misrepresentation.
2. Pursuing a
			 continued and flagrant course of misrepresentation or making false promises
			 through agents or advertising an auction to be an absolute auction, but
			 conducting it as an auction with reserve or otherwise.
3. Accepting valuable consideration as an
			 apprentice auctioneer for the performance of any of the acts specified in the
			 statutes, rules and regulations of the board from any person other that his or
			 her employer auctioneer.
4. Failing
			 to pay an account for or remit, within thirty (30) days, any money belonging to
			 others that comes into the licensee's possession, commingling funds of others
			 with those of the licensee, or failing to keep funds of others in an escrow or
			 trustee account.
5. Paying valuable
			 consideration to any person for services performed in violation of the
			 statutes, rules and regulations of the board.
6. Being convicted in a court of competent
			 jurisdiction of this or any other state of a criminal offense involving moral
			 turpitude or a felony.
7. Violation
			 of any rule or regulation promulgated by the board.
8. Failure to furnish voluntarily at the time
			 of execution copies of all written instruments prepared by the auctioneer or
			 apprentice auctioneer.
9. Any
			 conduct of a licensee that demonstrates bad faith, dishonesty, incompetency, or
			 untruthfulness.
10. Any conduct of
			 a licensee that demonstrates improper, fraudulent, or dishonest
			 dealings.
11. Having had any
			 license to practice a business or profession revoked, suspended, annulled, or
			 sanctioned, or otherwise having had any disciplinary action taken by any other
			 licensing authority in this or any other state against the licensee.
12. Failing prior to the sale at public
			 auction to enter into a written contract with the owner or consignee of any
			 property to be sold containing the terms and conditions upon which the licensee
			 received the property for sale.
13.
			 Failure to display the name and license number of the auctioneer conducting an
			 auction in the advertising for such auction.
14. Presenting a worthless check to the
			 board.
15. Any pattern of frivolous
			 unfounded complaints filed with the board by a licensee.
16. Knowingly making any misleading, false,
			 or deceptive statement on any application for a license.
17. Use of abusive, vulgar, profane or
			 threatening language by a licensee while conducting auction business.
18. Failure to produce requested documents,
			 books, records, or copies thereof, within thirty (30) days of a request for
			 inspection by the board or its authorized representative.
19. Making any false, deceptive, misleading
			 and untruthful statements in advertising.
20. Failure to cooperate with the board
			 during an investigation of a verified complaint in writing filed with the board
			 by not furnishing required documentation or responding to a request for
			 information or a subpoena issued by the board or its authorized
			 representative.
21. Interfering
			 with an investigation or disciplinary proceeding by willful misrepresentation
			 of facts or by use of threats, retaliation, or harassment against
			 anyone.
22. Any false information,
			 statements or testimony given to the Alabama State Board of Auctioneers or its
			 agents by a licensee or applicant. The board may suspend or revoke any license
			 which has been issued based on false or fraudulent representations.
23. Failure to abide by or comply with any
			 stipulated terms and conditions of any Board order or consent
			 agreement.