1. (a) Any individual may file a complaint against a broker at any time. A complaint shall:

   1. (1) be in writing;
   2. (2) identify the respondent broker or firm; and
   3. (3) apprise the Commission of the facts which form the basis of the complaint.
2. (b) A complaint may be amended by submitting the revised complaint in writing to the Commission.
3. (c) When investigating a complaint, the scope of the Commission's investigation shall not be limited only to matters alleged in the complaint.

4. (d) All answers, motions, or other pleadings relating to contested cases before the Commission shall be:

   1. (1) in writing or made during the hearing as a matter of record; and
   2. (2) apprise the Commission of the matters it alleges or answers.

5. (e) During the course of an investigation, any broker that receives a Letter of Inquiry from the Commission shall submit a written response within 14 days of receipt. The Commission, through its legal counsel or other staff, may send a broker a Letter of Inquiry requesting a response. The Letter of Inquiry, or attachments thereto, shall set forth the subject matter being investigated. The response shall include:

   1. (1) a disclosure of all requested information; and
   2. (2) copies of all requested documents.
6. (f) Persons who make complaints are not parties to contested cases, but may be witnesses.

History Note: Authority G.S. 93A-3(c); 93A-6(a); 150B-38(h);
Eff. February 1, 1976;
Readopted Eff. September 30, 1977;
Amended Eff. July 1, 2000; August 1, 1998; May 1, 1992; February 1, 1989; November 1, 1987;
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 1, 2018;
Amended Eff. July 1, 2019.