Grounds for denial, suspension, and revocation; penalties and disciplinary guidelines

Identify the ground before the penalty

Florida discipline separates prohibited conduct from the sanction. Denial refuses an application; suspension temporarily removes authority to practice; revocation withdraws the license. A reprimand is formal disapproval, an administrative fine is a monetary sanction, and probation imposes conditions.

The Commission's guidelines address fraud, dishonest dealing, culpable negligence, breach of trust, misleading advertising, and failure to account for or deliver escrowed property. They also address violations of rules or orders without demonstrated intent, certain criminal findings, and licensing action by another jurisdiction. Discipline is not limited to deliberate theft.

Under Florida Statutes section 475.25(1)(u) and (v), brokers must direct, control, or manage employed associates and review the brokerage's trust accounting procedures. Delegating bookkeeping does not remove the broker's review responsibility.

Match the violation to the guideline

Florida Statutes section 455.2273 requires meaningful penalty ranges based on severity and repetition. A first offense need not receive a warning. The fraud guidelines include serious license sanctions. A specific finding of mitigating or aggravating circumstances permits departure from the guideline. Figures and ranges depend on the offense and governing rule; do not borrow a penalty from a different violation.

Distinguish lesser procedures

A notice of noncompliance applies to an initial offense of a listed minor violation under Rule 61J2-24.003. The definition excludes economic or physical harm and significant threats to public welfare. An eligible first failure to maintain the office entrance sign is one example.

A citation under Rule 61J2-24.002 is a separate procedure for specified violations with no substantial threat, or where potential harm has been removed before issuance. It can impose a fine or other specified condition; it is not synonymous with a warning.

Comply with the order

Rule 61J2-24.006 makes the final order central to probation. An extension request requires written support before the initial term expires. Illness, an unavailable required course, or economic hardship as narrowly defined in the rule may support a director-granted extension. A denial or a request based on another reason goes to the Commission. Section 475.25(3) provides for reissuance upon Commission certification of compliance with all terms and conditions of the disciplinary final order.