FILED 0cT 10 29 Docketed by CHIEF FINANCIAL OFFICER JEFF ATWATER . STATE OF FLORIDA IN THE MATTER OF: U.S. FORENSIC, LLC , CASE NO.: 193331-16-AG / ADMINISTRATIVE COMPLAINT TO: | U.S. FORENSIC, LLC a 1216 SOUTH MYRTLE AVE" _ CLEARWATER, FLORIDA 33756 U.S. Forensic, LLC is hereby notified that the Chief Financial Officer of the State of Florida has caused to be made an investigation of its activities while approved as a continuing education course provider in this state, as a result of which it is alleged: . GENERAL ALLEGATIONS 1. Pursuant to chapter 626, Florida Statutes (2016), U.S. Forensic, LLC (the “Respondent” was approved to offer, instruct, and officiate continuing education programs for insurance field representatives and insurance agency operations in the State of Florida, provider number 367464, . 2. Pursuant to section 626.2816, Florida Statutes, the Florida Department of Financial Services (the “Department”), has authority over the regulation and enforcement of continuing education courses and has jurisdiction over Respondent’s activities as a continuing education course provider. 3 The Respondent submitted registration to the Department for the following course offerings to be presented at the Cheesecake Factory in Boca Raton, Florida on March 11, 2016: (a) Course offering 1042325 for course 79988 entitled FLOORING PERFORMANCE (“course 1042325”) to be presented from 9:00 AM until 10:00 AM (b) Course offering 1042326 for course 79987 entitled MOISTURE INTRUSION (“course 1042326”) to be presented from 11:00 AM until 12:00 PM : ; . (c) Course. offering 1042327 for course 75024 entitled ROOF DAMAGES & THE FLORIDA BUILDING CODE (“course 1042327”) to be presented from 1:00 PM until 2:00 PM (d) Course offering 1042328 for course 85292 entitled FOUNDATION FAILURES (“course 1042328”) to be presented from 3:00 PM until 4:00 PM , 4, Onor about March 11, 2016, the Department conducted on-site audits of the above — referenced continuing education courses offered by Respondent (“March 11th audit”). 5. The Respondent submitted registration to the Department for course offering 1044558 for course 79987 entitled MOISTURE INTRUSION (“course 1044558”) to be presented at Capitol Preferred in Tallahassee, Florida on April 19, 2016. 6. On or about April 19, 2016, the Department conducted an on-site audit of course 1044558 (“April 19th audit”). COUNT I 7. The above general allegations are hereby realleged and fully incorporated herein by reference. 8. When the Department arrived at the Cheesecake Factory in Boca Raton, Florida to conduct the March 11th audit, the location manager of the Cheesecake Factory informed the Department that no courses were being conducted at the location and that at no time had the restaurant hosted any continuing education course presentations. 9. On or about March 14, 2016, the Respondent sent to the Department a roster of eleven students purporting to have attended course 1042325, course 1042326, and course 1042327, and a roster of nine students purported to have attended course 1042328, The Respondent failed to conduct presentations for course 1042325, course 1042326, course 1042327, and course 1042328. IT IS THEREFORE CHARGED that Respondent has violated or is accountable under the following provisions of the Florida Insurance Code and Rules of the Department which constitutes grounds for disciplinary action against Respondent as an approved continuing education course provider: (a) Rule 69B-228,090(1)(a)4, Florida Administrative Code, which provides requests ~ for changes to approved course offerings shall be in writing and approved by the Department prior to the beginning of the class or seminar offering. (b) — Rule 69B-228.090(1)(a)5, Florida Administrative Code, which provides the classes‘ and seminars are to be registered with and approved by the Department and shall be in session on scheduled dates during specified hours and shall be held in an area readily accessible for audit by the Department, (c) Rule 69B-228.090(4)(b), Florida Administrative Code, which provides a roster submitted to the Department that includes the name of a licensee who was not in attendance shall be grounds for administrative action by the Department. . (d) = Rule 69B-228.100(2)(a), Florida Administrative Code, which provides classroom study method courses shall be attended or completed in their entirety in order for a licensee to receive credit. (e) Rule 69B-228.160(4), Florida Administrative Code, which provides a course provider is prohibited from falsifying any course completion record or other document related to the course. . (f) Rule 69B-228.210(6)(f), Florida Administrative Code, which provides a $1,000 fine for every finding of falsified documents, forms, outlines or information in connection with any course, (g) Rule 69B-228.210(6)(i), Florida Administrative Code, which provides the first violation of continuing education requirements yields a $250 fine per violation and a $500 fine for - every subsequent violation in which no monetary penalty is provided within chapter 69B-228, Florida Administrative Code. (h) =‘ Section 626.2816(2), Florida Statutes, which provides that the Department shall adopt rules establishing standards for the approval, regulation, and operation of the continuing education programs and for the discipline of licensees, course providers, instructors, school officials, and monitor groups. | COUNT II 10. The above general allegations are hereby realleged and fully incorporated herein by reference. 1i. | When the Department arrived at Capitol Preferred in Tallahassee, Florida to conduct the April 19th audit, the Department discovered that no continuing education course was being conducted on the premises. 12. Onor about April 19, 2016, the Respondent sent to the Department a roster of six students purporting to have attended course 1044558. The Respondent failed to conduct course 1044558. IT IS THEREFORE CHARGED that Respondent has violated or is accountable under the following provisions of the Florida Insurance Code and Rules of the Department which constitutes grounds for disciplinary action against Respondent as an approved continuing education course - provider: (a) _—_ Rule 69B-228.090(1)(a)4, Florida Administrative Code, which provides requests © for changes to approved course offerings shall be in writing and approved by the Department prior to the beginning of the class or seminar offering. (b) = Rule 69B-228.090(1)(a)5, Florida Administrative Code, which provides the classes and seminars are to be registered with and approved by the Department and shall be in session on scheduled dates during specified hours and shall be held in an area readily accessible for audit by the Department. (c) Rule 69B-228.090(4)(b), Florida Administrative Code, which provides a roster submitted to the Department that includes the name of a licensee who was not in attendance shall be grounds for administrative action by the Department. (d) Rule 69B-228.100(2)(a), Florida Administrative Code, which provides classroom study method courses shall be attended or completed in their entirety in order for a licensee to receive credit. (e) Rule 69B-228.160(4), Florida Administrative Code, which provides a course provider is prohibited from falsifying any course completion record or other document related to the course. (63) Rule 69B-228.210(6)(f), Florida Administrative Code, which provides a $1,000 fine for every finding of falsified docunients, forms, outlines or information:in connection with, any course. (g) Rule 69B-228.210(6)(i), Florida Administrative Code, which provides the first violation of continuing education requirements yields a $250 fine per violation and a $500 fine for every subsequent violation in which no monetary penalty is provided within chapter 69B-228, Florida Administrative Code. (h) ~— Section 626.2816(2), Florida Statutes, which provides that the Department shall adopt rules establishing standards for the approval, regulation, and operation of the continuing education programs and for the discipline: of licensees, course providers, instructors, school officials, and monitor groups. COUNT III © 13. The above general allegations dre hereby realléged and fully incorporated herein by reference. 14. On or about February 2, 2016, the Respondent submitted registration to the - Department to present course offering 1042323 for course 79987 entitled MOISTURE INTRUSION to be presented at the Hard Rock Hotel in Fort Lauderdale, Florida on March 4, 2016 (“course 1042323”), 15. Onor about February 17, 2016, the Respondent submitted a replacement course for course 1042323. The replacement course, course offering 1043019 for course 79988 entitled FLOORING PERFORMANCE (“replacement course 1043019”), was scheduled to be presented at the Hard Rock Hotel in Fort Lauderdale, Flotida on March 4, 2016. 16. On or about March 4, 2016, the Respondent sent to the Department a roster containing the names of fifteen students purporting to have attended course 1042323. Course -1042323 was substituted by replacement course 1043019 and was no longer an approved continuing education course in which students were eligible to receive credit. IT IS THEREFORE CHARGED that Respondent has violated or is accountable under the following provisions of the Florida Insurance Code and Rules of the Department which constitutes grounds for disciplinary action against Respondent as an approved continuing education course provider: (a) Rule 69B-228.090(4)(b), Florida Administrative Code, which provides a roster submitted to the Department that includes the name of a licensee who was not in attendance shall be grounds for administrative action by the Department. | (b) Rule 69B-228.100(2)(a), Florida Administrative Code, which provides classroom study method courses shall be attended or completed in their entirety in order for a licensee to receive credit. . (c) Rule 69B-228.160(4), Florida Administrative Code, which provides a course provider is prohibited from falsifying any course completion record or other document related to the course. | (d) —_ Rule 69B-228.210(6)(f), Florida Administrative Code, which provides a $1,000 fine for every finding of falsified documents, forms, outlines or information in connection with any course. (ec) Rule 69B-228.210(6)(i), Florida Administrative Code, which provides the first ’ violation of continuing education requirements yields.a $250 fine per violation and a $500 fine for every subsequent violation in which no monetary penalty is provided within chapter 69B-228, Florida Administrative Code. ( Section 626,.2816(2), Florida Statutes, which provides that the Department shall adopt rules establishing standards for the approval, regulation, and operation of the continuing education programs and for the discipline of licensees, course providers, instructors, school officials, and monitor groups. WHEREFORE, the Respondent, U.S. Forensic, LLC, is hereby notified that the Chief Financial Officer intends to enter an Order imposing one or more of the following penalties: withdrawal approval of courses sponsored by the Respondent, imposition of administrative fines, issuance of reprimand, assessment of costs related to the investigation, or imposition of such penalties as may be provided under the provisions of sections 626.2815, 626.869(5), 648.385, and 648.386, Florida Statutes, and under the other referenced sections of the Florida Statutes and Rules of the Department as set out in this Administrative Complaint. ) 107 one ebobr DATED and SIGNED this day of _, 2016. Gregory Thomas Director, Agent & Agency Services NOTICE OF RIGHTS You have the right to request a proceeding to contest this action by the Department pursuant to sections 120.569 and 120.57, Florida Statutes, and Rule 28-106, Florida Administrative Code. The proceeding request must be in writing, signed by you, and must be filed with the Department within twenty-one (21) days of your receipt of this notice. Completion of the attached Election of Proceeding form and/or a petition for administrative hearing will suffice as a written request. The request must be filed with Julie Jones, DFS Agency Clerk, at the Florida Department of Financial Services, 612 Larson Building, 200 East Gaines Street, Tallahassee, Florida 32399-0390. Your written response must be received by the Department no later than 5:00 pm. on the twenty-first . day after your receipt of this notice. Mailing the response on the twenty-first day will not preserve your right to a hearing. YOUR FAILURE TO RESPOND IN WRITING WITHIN TWENTY-ONE (21) DAYS OF ‘YOUR RECEIPT OF THIS NOTICE WILL CONSTITUTE A WAIVER OF YOUR RIGHT TO REQUEST A PROCEEDING ON THE MATTERS ALLEGED HEREIN AND AN ORDER OF SUSPENSION OR REVOCATION WILL BE ENTERED AGAINST YOU. If you request a proceeding, you must provide information that complies with the requirements of Rule 28-106.2015, Florida Administrative Code. As noted above, completion of the attached Election of Proceeding form conforms to these requirements. Specifically, your response must contain: (a) The name, address, and telephone number, and facsimile number (if any) of the respondent (for the purpose of requesting a hearing in this matter, you are the "respondent"). (b) Thename, address, telephone number, facsimile number of the attorney or qualified representative of the respondent (if any) upon whom service of pleadings and other papers shall be made. (c) A statement requesting an administrative hearing identifying those material facts that are in dispute, If there are none, the petition must so indicate. (d) A statement of when the respondent received notice of the administrative complaint. (e) A statement including the file number to the administrative complaint. If a hearing of any type is requested, you have the right to be represented by counsel or other qualified representative at your expense, to present evidence and argument, to call and cross- examine witnesses, and to compel the attendance of witnesses and the production of documents by subpoena, , Ifa proceeding is requested and there is no dispute of material fact, the provisions of section 120.57(2), Florida Statutes, apply. In this regard, you may submit oral or written evidence in opposition to the action taken by the Department or a written statement challenging the grounds upon which the Department has relied. While a hearing is normally not required in the absence of a dispute of fact, if you feel that a hearing is necessary, one will be conducted in Tallahassee, Florida, or by telephonic conference call upon your request. However, if you dispute material facts which are the basis for the Department’s action, you must request an adversarial proceeding pursuant to sections 120.569 and 120.57(1), Florida Statutes, These proceedings are held before a State Administrative Law Judge of the Division of Administrative Hearings. , Failure to follow the procedure outlined with regard to your response to this notice may result in the request being denied, All prior oral communication or correspondence in this matter shall be considered freeform agency action, and no such oral communication or correspondence shall operate as a valid request for an administrative proceeding, Any request for an administrative proceeding received prior to the date of this notice shall be deemed abandoned unless timely renewed in compliance with the guidelines as set out above. Mediation of this matter pursuant to section 120.573, Florida Statutes, is not available. No Department attorney will discuss this matter with you until the response has been received by the Department. 10 CERTIFICATE OF SERVICE I HEREBY CERTIFY that a true and correct copy of the foregoing Administrative Complaint and Election of Proceeding has been furnished to U.S. Forensic, LLC, at 1216 South Myrtle Ave., Clearwater, Florida, 33756 by Certified Mail this (Say of Oedabon 2016. Pope Baumann epartment of Financial Services Office of the General Counsel 612 Larson Building 200 East Gaines Street Tallahassee, Florida 32399-0333 (850) 413-4114 11

Docket for Case No: 17-000214