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Let’s Talk: Prelicensing Rosters
Every day our specialists in Broker Licensing receive emails and phone calls from broker license applicants who are receiving the following error message on their application, “Course completion confirmation from school not found.” There are essentially two reasons why this error appears on an application. The first reason is that a Course Completion Report (i.e. roster) has not yet been submitted by the education provider, and the second one is that the information submitted on the roster does not match what is on the application.
Every provider and instructor of prelicensing education knows to stress to their students the importance of not waiting to take the broker license examination after passing the prelicensing course. Commission Rule 58H .0207 requires education providers to submit a roster within seven days of the course completion date. Since most providers submit their rosters well within the seven-day requirement, the most common reason the above error appears is because the information on the application does not match what was submitted by the education provider.
A prelicensing roster must contain a student’s full legal first name, full legal last name (no nicknames, suffixes, middle names, middle initials, or punctuation), the last four digits of their Social Security Number (SSN), student contact information, the course completion date, the instructor number, and the number of the education provider. The most common conflict between the roster and the application is the name. The roster should only have the first and last name of the applicant even though the license application requires the full legal name and any suffixes.
If a student calls the education provider complaining of this error, the provider’s first step should be to verify the accuracy of the information they submitted on the roster. There is often a spelling error on the roster or the first and last names were accidentally switched, but the most common error is the student only gave the provider their preferred name and not their true legal name. If there is any error on the roster, the provider should be able to delete the student from it and submit a new one for just this student with their corrected information. If the student cannot be deleted from the roster, then the provider will need to contact the Education Department at educ@ncrec.gov.
If everything on the roster is correct and the student is still receiving this error, then there is a mistake somewhere on their application. They will need to proofread their application and make sure there are no typos and that they did not transpose any numbers. Sometimes there are leading or trailing spaces around the name in the name fields, and the application interprets that as an extra character. The best advice to give applicants is to clear out each name field, hit “backspace” and “delete” several times to eliminate any potential extra spaces, and then manually retype their name (do not let the browser auto-complete any fields). If the error still appears after following all of the above steps, the student should then be directed to call the Commission at 919-875-3700 and ask for “Broker Licensing.”
Finally, as it is required reading for the application and required to be reviewed per the prelicensing syllabus, educators should ensure they spend adequate time reviewing the application booklet, RELINC. Having a better understanding of the application process will also help clear confusion for prelicensing students so they know what to expect when it comes to finally submitting their application and getting ready to test.
Tech Corner: Spam Text Messages
Watch this video to learn about how to identify spam text messages. Video link: https://youtu.be/gRoVFN-AT0k
Commission Presentations
Brian Heath, Consumer Protection Officer, spoke at Property Management Committee of Durham Regional Association REALTORS® on October 1.
Bruce Rinne, Information Officer, spoke at the Brunswick County Association of REALTORS® on October 10.
Brian Heath, Consumer Protection Officer, spoke at exp Realty LLC on October 17.
Miriam Baer, Executive Director, and Janet Thoren, Director of Regulatory Affairs, spoke at NC REALTORS® Annual Meeting, on October 20th.
Anthony Lindsey, Commission Chair, Bill Aceto, Commission Vice-Chair, Miriam Baer, Executive Director, and Janet Thoren, Director of Regulatory Affairs, spoke at NC REALTORS® Annual Meeting, on October 21st.
Miriam Baer, Executive Director, spoke at Gaston Association of REALTORS® on October 24th.
November 2024 Presentations
*These presentations are subject to change due to the availability of Commission members and/or staff.*
Sarah Dixon, Associate Legal Counsel II, will speak at OWN Real Estate on November 7th.
Bruce Rinne, Information Officer, will speak at Allen Tate REALTORS® on November 8th.
Diversity, Equity, and Inclusion Article
With the holiday season quickly approaching, and as we begin to celebrate a time of togetherness and tradition, we encourage you to consider the diversity of the world we live and work in. It is important to remember that everyone may not celebrate the same traditions, there is a wide range of ways people celebrate the holiday season if they celebrate them at all. Fostering an environment of inclusivity and belonging for all helps avoid giving the impression that one or some holidays take precedence over others. Creating awareness and encouraging others to learn more about underrepresented traditions and other cultural celebrations is an excellent way to acknowledge and honor cultures or traditions many may not be familiar with.
Below you will find a list of upcoming observances and a resource to help keep track of the various holidays and observances with links to learn more about how each is celebrated and the significance or importance of the celebration.
Disciplinary Actions
A AND F VENTURES INC (ASHEVILLE) – By Consent, the Commission suspended the firm license of A AND F Ventures for a period of 6-months, effective September 30, 2024. The Commission then stayed the suspension in its entirety upon certain conditions. The Commission found that the Firm represented the seller in the transaction and negligently misrepresented that the property was serviced by city water and sewer, when in fact it had a septic system.
AFFINITY RENTALS LLC (JACKSONVILLE) – The Commission accepted the voluntary surrender of the real estate firm license of Affinity Rentals LLC, effective September 18, 2024. The Commission dismissed without prejudice allegations that the firm violated provisions of the Real Estate License Law and Commission Rules. The firm neither admitted nor denied misconduct.
ANCHOR REALTY LLC (FAIRFIELD) – The Commission accepted the voluntary surrender of the real estate firm license of Anchor Realty LLC, effective September 30, 2024. The Commission dismissed without prejudice allegations that the Firm violated provisions of the Real Estate License Law and Commission Rules. The Firm neither admitted nor denied misconduct.
SUSAN H AYERS (ASHEVILLE) – By Consent, the Commission suspended the broker license of Ayers for a period of 6-months, effective September 30, 2024. The Commission then stayed the suspension in its entirety upon certain conditions. The Commission found that Ayers represented the seller in a transaction and negligently misrepresented that the property was serviced by city water and sewer, when in fact it had a septic system.
ROY H HARVEL (PINEHURST) – By Consent, the Commission suspended the broker license of Harvel for a period of 9-months, effective September 16, 2024. The Commission then stayed the suspension in its entirety upon certain conditions. The Commission found that in 2022, a broker affiliated with Harvel acted as listing agent for an investor-client selling a residential property they had renovated. The seller disclosed to the listing agent that a chimney fire had caused some damage, and that he had documents evidencing that an engineer had recommended a repair method, and that the damage had been repaired. The listing agent did not receive the seller’s documents and failed to disclose the fire to potential buyers. A buyer purchased the property and discovered after closing that there had been a fire. The Commission noted that Harvel has entered a settlement with the buyer to enable a contractor to complete additional clean up and electrical repairs to the buyer’s satisfaction.
STELLA A MAYO (FAIRFIELD) – The Commission accepted the voluntary surrender of the real estate license of Mayo, effective September 30, 2024. The Commission dismissed without prejudice allegations that Mayo violated provisions of the Real Estate License Law and Commission Rules. Mayo neither admitted nor denied misconduct.
MARGARET S MCCANN (GRAHAM) – By Consent, the Commission suspended the broker license of McCann for a period of 6-months, effective September 30, 2024. The Commission then stayed the suspension in its entirety upon certain conditions. The Commission found that in 2021-22, McCann listed a property for sale and received an inspection report from a prospective buyer that revealed facts which were material to the transaction. After that buyer terminated the contract, McCann did not disclose the material facts she had learned to the eventual buyer of the property.
KATY A MOSS (GASTONIA) – By Consent, the Commission suspended the broker license of Moss for a period of 1-month, effective September 16, 2024. The Commission found that in January 2024, Moss, acting as a buyer agent in a transaction, was instructed to take keys from the listing agent’s lockbox prior to the closing for delivery to the buyer at closing. Moss was made aware by the closing attorney that the seller’s documents had not yet been received but gave the keys to the buyer following the buyer’s signing of closing documents, and a week prior to recordation of the deed. The buyer started demolition work on the property prior to the deed being recorded. The Commission noted that the deed was subsequently recorded.
PREMIER SANDHILLS VENTURES LLC (PINEHURST) – By Consent, the Commission reprimanded the firm effective September 16, 2024. The Commission found that in 2022, a broker affiliated with the Firm acted as listing agent for an investor-client selling a residential property they had renovated. The seller disclosed to the listing agent that a chimney fire had caused some damage, and that he had documents evidencing that an engineer had recommended a repair method, and that the damage had been repaired. The listing agent did not receive the seller’s documents and failed to disclose the fire to potential buyers. A buyer purchased the property and discovered after closing that there had been a fire. The Commission noted that the firm has entered a settlement with the buyer to enable a contractor to complete additional clean up and electrical repairs to the buyer’s satisfaction.
SARA J STANGER (JACKSONVILLE) – The Commission accepted the voluntary surrender of the real estate license of Stanger, effective September 18, 2024. The Commission dismissed without prejudice allegations that Stanger violated provisions of the Real Estate License Law and Commission Rules. Stanger neither admitted nor denied misconduct.
Beneath the Surface: The Pre-Hearing Process
Part Three of an in-depth Five-Part series on the Complaint and Disciplinary Process in Regulatory Affairs. See Part One “Navigating Complaints: A How-To Guide” from the August 2024 eBulletin and Part Two “The Road Ahead: After the Investigation” from the September 2024 eBulletin.
In Part One of our series, we explored the complaint and investigative process in Regulatory Affairs, and in Part Two, we examined what happens once an investigation is complete. In Part Three, we shift our focus to what happens after the Commission has found probable cause for disciplinary action and ordered a hearing in a case.
After the Commission has found probable cause and ordered a hearing in a case, the broker, referred to in a disciplinary case as a “Respondent,” receives the case status report (“CSR”) and a letter from the Commission staff attorney handling the prosecution of the case. These documents set the date for the hearing and provide information so that the Respondent can schedule a date for the pre-hearing conference.
The pre-hearing conference is a conference with the Commission staff attorney and the Respondent and/or the Respondent’s attorney. The conference is an opportunity to discuss details of the case, the hearing process, explore potential settlement options, and clarify questions. The Commission staff attorney serves as the primary point of contact in a disciplinary case and may answer procedural questions for a Respondent. The Commission staff attorney cannot provide legal advice and cannot give opinions to a Respondent, such as whether or not to accept a proposed settlement or proceed to a hearing. Respondents are encouraged to actively engage in discussions with the Commission staff attorney during the pre-hearing conference and to seek legal advice from an attorney, if the Respondent wishes.
North Carolina General Statute § 93A-6 grants the Commission the authority to take disciplinary action in the form of a suspension, revocation, or reprimand against a licensee who has violated any of the provisions of § 93A or Commission rules. These forms of discipline are imposed on a case-by-case basis, after a thorough consideration of the facts and their application to the relevant law.
A revocation is an official act by the Commission taking away a real estate license. A license suspension may be either active or stayed, or some combination of both. If a licensee is actively suspended, a licensee may not engage in real estate brokerage activity during the period of active suspension. If a licensee receives a suspension that is stayed, a licensee may engage in real estate brokerage activity during the period of the stayed suspension, subject to any other limitations that may be imposed on the license. A reprimand is a rebuke or a statement of disapproval by the Commission.
Most disciplinary cases at the Commission are settled by bringing to the Commission a proposed agreement between the Commission staff attorney, the Respondent, and/or the Respondent’s attorney, if any. In addition to a disciplinary sanction, a Respondent may also agree to complete real estate education courses and/or satisfy other conditions as part of a settlement. These conditions are unique to each case and relate to the misconduct of the Respondent. Pursuant to Commission Rule A .0615, settlements must be in writing and signed by the Respondent no later than two (2) days before the scheduled hearing. All settlements must receive final approval by a vote of the Commission members at an official meeting
Cases that are not resolved by agreement or where an agreed settlement is not accepted by the Commission proceed to hearing before the Commission members. Next month, we will take a close look at what happens during a disciplinary hearing.
Commission Presentations
September 2024 Presentations
Miriam Baer, Executive Director, and Janet Thoren Director of Regulatory Affairs, spoke at Greensboro Regional REALTORS®, on September 4th.
Bill Aceto, Commission Vice-Chair, and Janet Thoren, Director of Regulatory Affairs, spoke at Land of the Sky Association of REALTORS®, on September 6th.
Bruce Rinne, Information Officer, spoke at Central Carolina Association of REALTORS®, on September 9th.
Chad Wilson, Auditor/Investigator, spoke at Highlands-Cashiers Board of REALTORS®, on September 18th.
October 2024 Presentations
*These presentations are subject to change due to the availability of Commission members and/or staff.*
Brian Heath, Consumer Protection Officer, will speak at Property Management Committee of Durham Regional Association REALTORS® on October 1.
Brian Heath, Consumer Protection Officer, will speak at exp Realty LLC on October 17.
Miriam Baer, Executive Director, and Janet Thoren, Director of Regulatory Affairs, will speak at NC REALTORS® Annual Meeting, on October 20th.
Anthony Lindsey, Commission Chair, Bill Aceto, Commission Vice-Chair, Miriam Baer, Executive Director, and Janet Thoren, Director of Regulatory Affairs, will speak at NC REALTORS® Annual Meeting, on October 21st.
