Sec.12-2b-19. Disposition of complaints

(a) After the filing of a complaint, the Secretary shall make a prompt preliminary investigation. If the complaint does not come within the Secretary's jurisdiction, the complainant will be so notified. The Secretary may at his discretion, refer the complaint to the appropriate agency for review.

(b) If, after investigation of the complaint, the Secretary is of the opinion that there is no substantial and competent evidence of violation, the complaint shall be dismissed. In the event of such dismissal, the complainant shall be notified, including the reasons for such dismissal.

(c) In cases where, after investigation, there is reason to believe that a company or an employee has failed to comply with the lawful requirements for retention of its or his or her certificate, the Secretary shall serve a formal complaint on the company or the employee and proceed in accordance with the provisions of Section 12-2b-13 through Section 12-2b-16 of these regulations.

(Effective October 4, 1985; Amended March 30, 1999)