187—20.10(17A,533A) Complaints and investigations.

1. 20.10(1)  The superintendent may, at any time and as often as the superintendent deems necessary, investigate a licensee and examine the licensee’s books, accounts, records, and files.
2. 20.10(2)  The superintendent may investigate complaints about, or alleged violations by, any licensee.

3. 20.10(3)  The following shall constitute a complaint or alleged violation:

   1. a. A written complaint received from a consumer, member of the public, employee, business affiliate, or governmental agency.
   2. b. Notice to the superintendent from any source that the licensee has been the subject of disciplinary proceedings in another jurisdiction.
   3. c. Notice to the superintendent from any source that the licensee has been convicted of forgery, embezzlement, obtaining money under false pretenses, extortion, conspiracy to defraud, or other similar offense, in a court of competent jurisdiction in this state or in any other state, territory, or district of the United States, or in any foreign jurisdiction.

[ARC 4061C, IAB 10/10/18, effective 11/14/18]