1716.1 The Director, upon the receipt of a complaint submitted in accordance with § 1716.2, shall investigate a registrant if the facts alleged in the complaint, if proven, would constitute sufficient grounds for disciplinary action.

1716.2 A person who desires to file a complaint against a registrant shall do the following:

1. (a) Submit the complaint in writing;
2. (b) State the facts or circumstances that form the basis of the complaint;
3. (c) Sign the complaint and state the complainant's name and address; and
4. (d) Mail or deliver the complaint to the Director.

1716.3 Nothing in § 1716.2 precludes the Director from investigating a registrant based on information obtained from an individual who does not file a complaint in accordance with that subsection.

1716.4 The Director may request a registrant under investigation to respond in writing to any allegations. If the Director requests a response, the Director shall inform the registrant of the following:

1. (a) That the registrant is not required to respond to the request;
2. (b) That a copy of any response may be sent to the complainant, if any;
3. (c) That the failure to respond will not be held against the registrant in any subsequent action based on the investigation; and
4. (d) That any response may be used against the registrant in a subsequent action.

1716.5 If the Director receives a written response from a registrant requested pursuant to § 1716.4, he or she may send a copy of the response to the complainant and request a written reply within a time period determined by the Director.

1716.6 After considering the facts of a particular case, the complaint, if any, and any response thereof, the Director shall take one of the following actions:

1. (a) Refer the complaint to the Office of Investigations and Enforcement for investigation;
2. (b) Issue a notice of intended action in accordance with § 1717 of this chapter;
3. (c) Request that the registrant attend a settlement conference in accordance with § 1724 of this chapter; or
4. (d) Dismiss the complaint

1716.7 If the Director dismisses a complaint, it shall give the complainant notice in writing, sent by first class mail, of the dismissal of the complaint within ten (10) days of the action.

SOURCE: Final Rulemaking at 50 DCR 9549 (November 14, 2003).