Informal Disciplinary Conferences at the Illinois Department of Financial and Professional Regulation

After the Illinois Department of Financial and Professional Regulation opens an investigation on a licensee, but before a formal complaint is filed, the Department will often offer the licensee the opportunity to meet with a Member of the License’s Disciplinary Board and a prosecutor who works for the Department.  The purpose of this meeting, which is called an Informal Disciplinary Conference, is to talk about the allegations and hear from the licensee. The ultimate goal is to settle the matter without a formal hearing.  It is important that the licensee prepare as much as possible for the Informal Disciplinary Conference, since it is the last best opportunity to resolve the case with the least amount of expense and effort.  The Board Member and the Department prosecutor will meet with each other immediately after the Conference, and after deliberating for a few minutes, they will call the licensee back into the room and inform him or her of their recommended  action, which can be one of the following:

1. close the file

2. administrative warning letter-this is confidential and not made public

3. reprimand

4. probation

5 suspension

6. revocation

Any of these outcomes can be coupled with a fine.  And no matter what the recommendation, the action is not final until approved by the full Board and signed off on by the Director of the Department.  For more information, contact Michael Goldberg at 312-930-5600 or mgoldberg@goldberglawoffice.com

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Informal Disciplinary Conferences at the Illinois Department of Financial and Professional Regulation

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