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Bureau enforcement team outlines complaint intake, investigations and disciplinary process
Summary
Enforcement staff explained how complaints are screened for jurisdiction, investigated, and may result in outcomes from no‑violation findings to citations or referrals to the Attorney General for formal discipline; counsel emphasized due process rights and evidentiary standards.
Enforcement analysts and legal counsel for the Professional Fiduciaries Bureau gave an in‑depth overview of the bureau’s complaint, investigation and disciplinary procedures on Dec. 11, 2024.
Sue Lowe, enforcement analyst, described intake and statistics and said the bureau investigates all complaints that fall within its jurisdiction. Kathy Scott explained the initial intake steps: determining jurisdiction, performing a preliminary analysis of allegations and required evidence, and sending an acknowledgment letter within 10 days that may request documents.
Legal counsel Helen Jofre said the bureau must provide licensees due process before taking disciplinary action. She explained the distinction between administrative citations (which may include an order of abatement or fines) and more formal disciplinary actions initiated by an accusation and handled through the Office of the Attorney General and administrative law judges (ALJs). "A citation... is not necessarily considered formal disciplinary action," Jofre said, and noted a citation fine can be up to $5,000. She described stipulated settlements, proposed decisions by ALJs, the director’s role in adopting or modifying proposed decisions, and the bureau’s ability to seek cost recovery of investigation and prosecution expenses.
Staff outlined typical outcomes: closure for no violation, closure for insufficient evidence, issuance of citations, or referral to the Attorney General for disciplinary proceedings (which can include probation, suspension or revocation). The presenters emphasized that the bureau’s investigative work is confidential until enforcement documents are finalized and that the bureau cannot overturn court orders or remove a fiduciary appointed by a court; those matters belong to the probate court or criminal authorities when applicable.
Staff said respondents have 15 days to file a notice of defense after an accusation, and informal conferences or stipulated settlements are options before a formal hearing. The bureau reported two citations issued and one matter referred to the Attorney General during the recent quarter.
