Reporting Criminal Convictions and Occupational Licensing Discipline

Have you been disciplined by an occupational licensing board in North Carolina or another state?  Have you been convicted of a felony or misdemeanor offense?  Do you know of a broker who has?

Commission Rule A.0113 requires that a broker, including an inactive broker, report criminal convictions and disciplinary actions by governmental and occupational licensing agencies by filing Form REC 2.09 with the Commission within 60 days of final judgment, order, or disposition of:

  • A felony or misdemeanor conviction,
  • A disciplinary action including, but not limited to; reprimands, stayed or active suspensions, sanctions, fines, etc.; the entering into a conciliation agreement or consent order with a government agency or occupational licensing agency.  This could include a suspension of a registered nursing license, general contractor’s license, broker license in another state, auctioneer license, bail bondsman licensure, etc.
  • A final judgment, order, or disposition of a military court-martial conviction; or
  • A notarial commission sanction pursuant to G.S. 10B-60.

The Criminal Conviction / Disciplinary Action Reporting Form is available on the Commission’s website at under Forms or upon request to the Commission. Make sure to fully complete the form.  Rule A .0113 requires a broker to provide a description of any criminal convictions or disciplinary actions.  You will also note that Form 2.09 prompts a broker to upload certified copies of any judgment or order in the case.  Providing a copy of any such order or disciplinary action with the notification form will only help to expedite the Commission’s review and investigation of the matter, if warranted.