Petitioner: DEPARTMENT OF FINANCIAL SERVICES
Respondent: US FORENSIC, LLC
Judges: D. R. ALEXANDER
Agency: Department of Financial Services
Locations: Tallahassee, Florida
Filed: Jan. 13, 2017
Status: Closed
Settled and/or Dismissed prior to entry of RO/FO on Wednesday, February 1, 2017.
Latest Update: Dec. 23, 2024
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
Issue Date |
Proceedings |
Feb. 01, 2017 |
Order Closing File and Relinquishing Jurisdiction. CASE CLOSED.
|
Jan. 31, 2017 |
Joint Motion to Close File and Relinquish Jurisdiction filed.
|
Jan. 31, 2017 |
Notice of Appearance (John Brennan) filed.
|
Jan. 23, 2017 |
Order of Pre-hearing Instructions.
|
Jan. 23, 2017 |
Notice of Hearing (hearing set for March 9, 2017; 9:30 a.m.; Tallahassee, FL).
|
Jan. 20, 2017 |
Joint Response to Initial Order filed.
|
Jan. 13, 2017 |
Notice of Petiitoner's Request for Admissions filed.
|
Jan. 13, 2017 |
Initial Order.
|
Jan. 13, 2017 |
Election of Proceeding filed.
|
Jan. 13, 2017 |
Administrative Complaint filed.
|
Jan. 13, 2017 |
Agency referral filed.
|