30 Miss. Code. R. 1601-5.3 - Investigations of Complaints

A. Upon receipt of a verified/sworn complaint, or other allegation of violation of the Mississippi Real Estate Commission License Law, the Commission's Administrative Rules or other applicable laws, the Commission's Investigative Staff, with advice and consultation from Commission legal staff/counsel shall make an initial determination whether the information justifies or warrants further investigation. A complaint or inquiry may be dismissed without further investigation based on a determination of either:

1) Lack of Commission jurisdiction; or

2) No apparent violation of the Mississippi Real Estate Commission License Law or the Commission's Administrative Rules governing the practice of real estate.

B. The Commission may initiate an investigation either:

1) In response to a written or verified/swom complaint, or other information received by the Commission alleging violation(s) of the Mississippi Real Estate Commission License Law, the Commission's Administrative Rules, or other applicable laws; or

2) The Commission may initiate an investigation based on information independently developed or corroborated by the Investigative Staff of the Commission that has been reduced to writing, describing said information and the acts or omissions constituting any alleged unprofessional conduct or violations. Further investigation based upon information independently developed by the Investigative Staff may commence after the written description of alleged violation(s) has been approved in writing by the Administrator.

C. Upon commencement of an investigation, the Commission will provide written notice to the applicable licensee(s) and their Responsible Broker of the allegations of violations, including copy of any written or swom/verified complaint submitted to the Commission. No Commissioner, administrator, employee, investigator, representative, agent or attorney of the Commission shall communicate with a licensee in connection with any preliminary or formal investigation associated with alleged violations of licensing law or regulations prior to the delivery of written notice to the licensee's Responsible Broker.

D. Licensees will be required to submit their entire work file/documentation of the real estate transaction(s) at issue, along with Affidavit, and his/her written, notarized response to the allegations, within ten (10) days of the date of service of written notice upon the licensee(s) and his/her Responsible Broker(s).

1. The Affidavit submitted must certify that complete, accurate and true copies of all documents germane to the real estate transaction under investigation are being tendered to the Commission. The Affidavit should be signed by the licensee(s) and signature(s) notarized.

2. The written response of the licensee(s) to the allegations submitted by the complaining party must be signed by the licensee(s) with notarized signature.

E. Following receipt of the licensee's file documentation with Affidavit and swom/written response to the allegation(s), said documentation and response will be provided to the complaining party who initiated the complaint/allegations against the licensee, when applicable, for response and for verification of authenticity of transaction documents submitted by the licensee(s).

F. After any response/rebuttal is received from the complaining party, the response/rebuttal will be provided to the licensee(s) so that each party is fully aware of the complaining party's allegations, and which documents are considered germane to the Commission review and investigation. The Commission may conduct interviews and written (signed) responses may be requested from the parties for clarification.

G. The Commission is authorized to issue subpoenas for the attendance of licensees and/or witnesses for interviews during the course of an investigation, and for the production of documents and records.

H. During the course of any investigation, should information be received which indicates acts or omissions on the part of any licensee or licensees not originally the subject of the investigation which might constitute alleged unprofessional conduct or violations, then this information and any alleged charges will be reduced to writing describing said information and the acts or omissions constituting alleged unprofessional conduct or violations. Any new or expanded investigation or initiation of any Formal Complaint against such new licensee(s) based upon such information will commence after the written description of alleged violations has been approved in writing by the Administrator. Notice shall be provided to the Responsible Broker(s) and licensee(s) to be investigated or charged. From and after that point, all provisions pertaining to investigation of the original licensee(s) shall apply to the new licensee(s).

I. Licensees have, at all times, the right to retain and consult with legal counsel. Any licensee represented by an attorney of record in proceedings before the Commission shall be entitled to communication through such attorney, and service of documents by the Commission shall be made upon such attorney.

Notes

30 Miss. Code. R. 1601-5.3

Miss. Code Ann. § 73-35-21, § 73-35-23, § 73-35-35 (1972, as amended)

Adopted 8/15/2022