Case Study: Criminal Conviction

FACTS: A broker attended a social event on May 17, 2022. As the broker was driving home, she was stopped by the NC Highway Patrol.  When the State Trooper approached the car, he informed the broker that she was stopped for swerving over the center line.

During the traffic stop, the broker completed a field sobriety test. At the conclusion of the sobriety test, she was arrested for driving while impaired. The broker bonded out of jail the next morning. Upon being released, she noticed several missed telephone calls and text messages from her BIC.

The broker immediately called her BIC and explained that she had just been released from jail due to her arrest for DWI. During the conversation, the BIC informed the broker that she must notify the Commission if she is convicted of the DWI.

The broker’s case was disposed of on March 1, 2023. The judge found her guilty of a Class 1 misdemeanor. The broker informed the Commission of her misdemeanor DWI conviction on March 25, 2023 by submitting a Criminal Conviction Disciplinary Action Reporting Form.

ISSUE: Did the broker comply with Rule 58A .0113?

ANALYSIS:  Yes. Rule 58A .0113(a) states that a broker shall file with the Commission a Criminal Conviction Disciplinary Action Reporting Form within 60 days of a:

1. final judgment, order, or disposition of any felony or misdemeanor conviction;
2. disciplinary action or entering into a conciliation agreement or consent order with a governmental agency or occupational licensing agency;
3. final judgment, order, or disposition of a military court-martial conviction; or
4. notarial commission sanction pursuant to G.S. 10B-60.

The Criminal Conviction Disciplinary Action Reporting Form is available on the Commission’s website at www.ncrec.gov or upon request to the Commission and requires the broker to set forth their:

1. full legal name;
2. physical and mailing address;
3. real estate license number;
4. telephone number;
5. email address;
6. social security number;
7. date of birth; and
8. description of the criminal conviction, military court-martial conviction, notarial commission sanction, or professional license disciplinary action, including the jurisdiction and file number.

In this scenario, the broker was convicted on March 1, 2023. She notified the Commission on March 25, 2023, of her misdemeanor DWI conviction using the Criminal Conviction Disciplinary Action Reporting Form. The broker notified the Commission 24 days after her conviction. Therefore, she was in compliance with Rule 58A .0113(a)(1) which requires brokers to notify the Commission within 60 days of a final judgment, order, or disposition of any felony or misdemeanor conviction.

If the broker submitted the Criminal Conviction Disciplinary Action Reporting Form on May 1, 2023, or later, she would not have been in compliance with License Law and Commission Rule 58A .0113.

NOTE: Brokers do not have to notify the Commission if they have been arrested, charged or otherwise accused unless it results in a felony/misdemeanor conviction, disciplinary action, military court-martial, or notarial commission sanction.

RESOURCES:

N.C.G.S. § 93A-6(a) , 93A-6(a)(8), and 93A-6(a)(15)

License Law and Commission Rules: Rule 58A .0113

Form: Criminal Conviction Reporting