039 REAL ESTATE COMMISSION

Chapter 340: COMPLAINTS AND INVESTIGATIONS

1. SUMMARY: This rule establishes guidelines and procedures for filing complaints, conducting investigations and disposition of matters following investigations.

SECTION 1. Complaints

Pursuant to 32 M.R.S. § 13069(6), the Director may receive and process written complaints. A copy of a written complaint alleging activities in violation of Title 32, Chapter 114 of the Maine Revised Statutes or Commission rules, or concerning the qualifications of any Commission licensee, shall be sent to the last known contact information of the person against whom the complaint is filed. If the complaint is filed against a licensee, a copy of the complaint will also be sent to the licensee’s designated broker.

The Director will request the person against whom the complaint is filed to provide a written response to the allegation(s) contained in the complaint.

Any related investigation may also include such other inquiries as may be deemed appropriate in order to complete the processing of the complaint according to the provisions of 32 M.R.S. § 13067-A or § 13174.

SECTION 2. Other Investigations

An investigation may be conducted based upon information other than a written complaint if such information provides prima facie evidence of a violation of Title 32, Chapter 114 of the Maine Revised Statutes or Commission rules, or if the information raises a substantial question regarding the qualifications of any applicant or licensee.

SECTION 3. Member Request for Investigation

A member of the Commission may file a complaint or request an investigation, but such complaint or request shall serve to disqualify the member from participating in consideration of the complaint and/or investigation. The member shall be prohibited from discussing the issue with other members, except as a witness or party, until after final Commission action and the time for filing an appeal has lapsed or appeal rights have been exhausted.

SECTION 4. Prohibited Communications

1. 1. The members shall avoid discussing, except with adequate notice and opportunity for all parties to participate, any specific case under investigation, or any case which may reasonably be expected to be the subject of investigation, until after final Commission action and the time for filing an appeal has lapsed or appeal rights have been exhausted.

STATUTORY AUTHORITY: 32 M.R.S. §§ 13065, 13067-A, 13069, 13174

EFFECTIVE DATE:

AMENDED: April 17, 1992 - Sec., 1, 2 & 4

EFFECTIVE DATE (ELECTRONIC CONVERSION):

APAO ACCESSIBILITY CHECK: October 17, 2025 (no issues detected)

REPEALED AND REPLACED:

October 26, 2025 – filing 2025-205