Help! My Agent has a Complaint Filed Against Them
NOTIFICATION OF A COMPLAINT
If someone files a complaint against an agent in your office, we’ll notify you. You will receive an email from WeSERV Complaints with a link to the online case management software CasePro™. This link will take you to a management site where you can view the complaint in its entirety. WHO CAN FILE A COMPLAINT?
Any person, whether a member or not, who has reason to believe that a member is guilty of any conduct subject to disciplinary action, may file a complaint in writing in their own name with the Professional Standards Administrator, dated and signed by the complainant, stating the facts on which it is based providing that the complaint is filed within one hundred eighty (180) days after the facts constituting the matter complained of could have been known in the exercise of reasonable diligence within one hundred eighty (180) days after the conclusion of the transaction or event, whichever is later.THE COMPLAINT REVIEW PROCESS
The Grievance Committee reviews ethics complaints to determine if, taken as true on their face, a hearing is warranted. The Grievance Committee makes only such preliminary evaluation as is necessary to make these decisions. They do not hold hearings and do not decide if a member has violated the Code of Ethics. Complainants are not required to prove their case upon submission of their ethics complaint. If the Grievance Committee determines that a complaint is warranted, they’ll forward it to the Professional Standards Committee for a hearing.WHAT’S NEXT?
Your agent can now file a response to the allegations filed against them and prepare for the hearing. In any ethics hearing that is convened to consider alleged violations of membership duties, the ultimate burden of proving that the Code of Ethics duty has been violated is at all times on the complainants. Clear, strong, and convincing shall be the standard of proof that alleged violations of the Code of Ethics are determined.VIOLATION FEES & DISCIPLINE
If a member is found in violation of an article of the Code of Ethics, there will be a $500 administrative fee assessed and any discipline including education or additional fines up to $15,000 depending on the harm caused to the other party.QUESTIONS
If you have any questions regarding the ethics complaint process, please call WeSERV at 480-477-5882.download the article
