3772.14 [Effective 9/10/2010] Authority to issue or renew a license; suspension or revocation.
(A) After notice and opportunity for an adjudication conducted under Chapter 119. of the Revised Code, the commission may suspend, revoke, or refuse to issue or renew a license in accordance with rules adopted by the commission and the commission may reopen a licensing hearing at any time.
(B) Without in any manner limiting the authority of the commission to impose the level and type of discipline it may consider appropriate, the commission may take into consideration:
(1) If the licensee knew or reasonably should have known that the action complained of was a violation of any law, regulation, or condition on the licensee’s license;
(2) If the licensee has previously been disciplined by the commission;
(3) If the licensee has previously been subject to discipline by the commission concerning the violation of any law, regulation, or condition of the licensee’s license;
(4) If the licensee reasonably relied upon professional advice from a lawyer, doctor, accountant, or other recognized professional that was relevant to the action resulting in the violation;
(5) If the licensee or licensee’s employer had a reasonably constituted and functioning compliance program;
(6) If the imposition of a condition requiring the licensee to establish and implement a written self-enforcement and compliance program would assist in ensuring the licensee’s future compliance with all statutes, regulations, and conditions of the license;
(7) If the licensee realized a pecuniary gain from the violation;
(8) If the amount of any fine or other penalty imposed would result in disgorgement of any gains unlawfully realized by the licensee;
(9) If the violation was caused by an officer or employee of the licensee, the level of authority of the individual who caused the violation;
(10) If the individual who caused the violation acted within the scope of the individual’s authority as granted by the licensee;
(11) The adequacy of any training programs offered by the licensee or licensee’s employer that were relevant to the activity which resulted in the violation;
(12) If the licensee’s action substantially deviated from industry standards and customs;
(13) The extent to which the licensee cooperated with the commission during the investigation of the violation;
(14) If the licensee has initiated remedial measures to prevent similar violations;
(15) The magnitude of penalties imposed on other licensees for similar violations;
(16) The proportionality of the penalty in relation to the misconduct;
(17) The extent to which the amount of any fine imposed would punish the licensee for the conduct and deter future violations;
(18) Any mitigating factors offered by the licensee; and
(19) Any other factors the commission in its sole and absolute discretion may consider relevant.
Added by 128th General Assembly File No. 38, HB 519, § 1, eff. 9/10/2010.
3772.14 [Effective 9/10/2010] Authority to issue or renew a license; suspension or revocation.
(A) After notice and opportunity for an adjudication conducted under Chapter 119. of the Revised Code, the commission may suspend, revoke, or refuse to issue or renew a license in accordance with rules adopted by the commission and the commission may reopen a licensing hearing at any time.
(B) Without in any manner limiting the authority of the commission to impose the level and type of discipline it may consider appropriate, the commission may take into consideration:
(1) If the licensee knew or reasonably should have known that the action complained of was a violation of any law, regulation, or condition on the licensee’s license;
(2) If the licensee has previously been disciplined by the commission;
(3) If the licensee has previously been subject to discipline by the commission concerning the violation of any law, regulation, or condition of the licensee’s license;
(4) If the licensee reasonably relied upon professional advice from a lawyer, doctor, accountant, or other recognized professional that was relevant to the action resulting in the violation;
(5) If the licensee or licensee’s employer had a reasonably constituted and functioning compliance program;
(6) If the imposition of a condition requiring the licensee to establish and implement a written self-enforcement and compliance program would assist in ensuring the licensee’s future compliance with all statutes, regulations, and conditions of the license;
(7) If the licensee realized a pecuniary gain from the violation;
(8) If the amount of any fine or other penalty imposed would result in disgorgement of any gains unlawfully realized by the licensee;
(9) If the violation was caused by an officer or employee of the licensee, the level of authority of the individual who caused the violation;
(10) If the individual who caused the violation acted within the scope of the individual’s authority as granted by the licensee;
(11) The adequacy of any training programs offered by the licensee or licensee’s employer that were relevant to the activity which resulted in the violation;
(12) If the licensee’s action substantially deviated from industry standards and customs;
(13) The extent to which the licensee cooperated with the commission during the investigation of the violation;
(14) If the licensee has initiated remedial measures to prevent similar violations;
(15) The magnitude of penalties imposed on other licensees for similar violations;
(16) The proportionality of the penalty in relation to the misconduct;
(17) The extent to which the amount of any fine imposed would punish the licensee for the conduct and deter future violations;
(18) Any mitigating factors offered by the licensee; and
(19) Any other factors the commission in its sole and absolute discretion may consider relevant.
Added by 128th General Assembly File No. 38, HB 519, § 1, eff. 9/10/2010.
3772.14 [Effective 9/10/2010] Authority to issue or renew a license; suspension or revocation.
(A) After notice and opportunity for an adjudication conducted under Chapter 119. of the Revised Code, the commission may suspend, revoke, or refuse to issue or renew a license in accordance with rules adopted by the commission and the commission may reopen a licensing hearing at any time.
(B) Without in any manner limiting the authority of the commission to impose the level and type of discipline it may consider appropriate, the commission may take into consideration:
(1) If the licensee knew or reasonably should have known that the action complained of was a violation of any law, regulation, or condition on the licensee’s license;
(2) If the licensee has previously been disciplined by the commission;
(3) If the licensee has previously been subject to discipline by the commission concerning the violation of any law, regulation, or condition of the licensee’s license;
(4) If the licensee reasonably relied upon professional advice from a lawyer, doctor, accountant, or other recognized professional that was relevant to the action resulting in the violation;
(5) If the licensee or licensee’s employer had a reasonably constituted and functioning compliance program;
(6) If the imposition of a condition requiring the licensee to establish and implement a written self-enforcement and compliance program would assist in ensuring the licensee’s future compliance with all statutes, regulations, and conditions of the license;
(7) If the licensee realized a pecuniary gain from the violation;
(8) If the amount of any fine or other penalty imposed would result in disgorgement of any gains unlawfully realized by the licensee;
(9) If the violation was caused by an officer or employee of the licensee, the level of authority of the individual who caused the violation;
(10) If the individual who caused the violation acted within the scope of the individual’s authority as granted by the licensee;
(11) The adequacy of any training programs offered by the licensee or licensee’s employer that were relevant to the activity which resulted in the violation;
(12) If the licensee’s action substantially deviated from industry standards and customs;
(13) The extent to which the licensee cooperated with the commission during the investigation of the violation;
(14) If the licensee has initiated remedial measures to prevent similar violations;
(15) The magnitude of penalties imposed on other licensees for similar violations;
(16) The proportionality of the penalty in relation to the misconduct;
(17) The extent to which the amount of any fine imposed would punish the licensee for the conduct and deter future violations;
(18) Any mitigating factors offered by the licensee; and
(19) Any other factors the commission in its sole and absolute discretion may consider relevant.
Added by 128th General Assembly File No. 38, HB 519, § 1, eff. 9/10/2010.
