Commission disposes of consent agenda and issues fines, warnings and referrals in enforcement matters

The commission moved and approved the legal consent agenda and then heard discussion on a set of pulled enforcement matters. The commission accepted council recommendations for many items and took specific actions on several notable complaints.

Selected outcomes (as recorded in the meeting): - Case 1: $1,000 civil penalty assessed for failure to provide an owners list as required; motion adopted unanimously. - Case 2: $1,000 civil penalty assessed against the principal broker responsible during the period in question; motion adopted unanimously. - Case 4: Motion to dismiss accepted (no sanction). - Case 6: After discussion the commission assessed a $1,000 civil penalty (cited for honesty/good-faith concern); motion carried 7–1. - Case 11: Accepted council recommendation (dismissal as noted in packet). - Case 12: $1,000 civil penalty assessed for unlicensed-activity advertising tied to a third-party platform; motion adopted unanimously. - Case 31: The commission issued a letter of warning for honesty/good-faith concerns and referred the matter to the Tennessee Attorney General's Consumer Protection division for further review (motion unanimous). - Case 35: Letter of warning for failure to exercise reasonable skill and care (motion carried with one dissent noted in roll call). - Case 56: Council recommended an unlicensed-activity sanction; commissioners amended the recommendation and assessed $1,000 per year for five years (total $5,000) for employing an unlicensed individual; motion carried unanimously. - Case 75: As a result of an audit showing numerous expired-affiliate entries on a firm roster the commission assessed a civil penalty of $13,000 on the firm (thousand dollars per expired affiliate), and opened administrative complaints against the principal broker and the expired affiliates; motion carried unanimously. - Case 77: Letter of instruction issued to firm to remind of audit/documentation responsibilities; motion adopted unanimously. - Case 83: Letter of warning issued to respondent regarding affiliate roster/roster-record issues; motion adopted unanimously.

Commissioners and staff repeatedly emphasized the audit program as the mechanism that uncovered roster, insurance and E&O issues. Several commissioners asked staff to use audits to identify systemic problems and to pursue appropriate administrative complaints, including requests that the Attorney General receive matters outside the commission’s direct statutory scope.