Potential complaint resolutions…
After completing appropriate proceedings regarding a case alleging a violation of the Act, the Commission can take one of several courses of action:
- Dismiss the case if no violation is found.
- Issue a Compliance Order
- If the Commission finds that the Respondent has violated one or more of the laws under its jurisdiction, the Commission can issue an Order, including a Consent Order, which can include (but is not limited to):
- Assessing a civil penalty in a dollar amount not to exceed the maximum authorized per violation (see “Fines and Penalties) times the number of violations found; and
- Ordering the Respondent to file or amend any delinquent/deficient document or report required to be filed by law under the jurisdiction of the Commission and on a form or in the manner required by the Commission, within a certain time period with copies to be filed with the Commission; and
- Ordering such other actions as necessary to bring about compliance with the law, including prohibiting the actual or threatened commission of any conduct constituting a violation.
- Suspend the hearing and report all preliminary findings to any prosecutorial authority for any action deemed appropriate.
- Postpone findings and any possible penalty for rescheduling and consideration of the matter at a future meeting, and subject to the taking of any interim action suggested by the Commission as dispositive in lieu of further proceedings.
SEC Rule 189-2-.08 Disposition of Cases