Component 1: Seeking, Accepting, Reporting and Recording Complaint

Complaint Form (VA)
Complaint Form (VA)
Activity Checklist (VA)
Pending Litigation Form – disclosed in renewal (NC)
Record of Complaint (NC)
DNO (no board jurisdiction) Letter (SC)
Complaint Process Flow Chart (TX)

Component 2: Management of Complaint

Sample Letters to Complainant & Respondent to Open Complaint (OH)
Sample Letters to Complainant & Respondent to Close Complaint (OH)
Sample Letters to Respondent, Unlicensed Practice – advertising (OH)
Cease and Desist Letter (NE)
Complaint Board Report (NE)
Letter for Unlicensed Use of Title (advertising) (NC)
Cease and Desist Order (and letter) (NC)
Case Summary Sample (TX)
Unregistered Foreign Firm – firm letter (NV)
Unregistered Foreign Firm – client letter (NV)
Letter to Complainant Explaining Rights/Process (TN)

Component 3: Decision to Dismiss, Investigate or Settle

Tracking Sheet (VA)
Stipulation Consent Order – Failure to Renew (NE)
Litigation Monitoring Consent Order (NE)
Litigation Monitoring Consent Order (NC)
No Violation of Practice Act from Complaint Analyst (SC)
MoA or FC (explanation of settlement or formal hearing) – Letter to Respondent (SC)

Component 4: Investigations

Investigative Report – unlicensed practice (VA)
Investigative Report – criminal charges (VA)
Conflict Letter for Investigator (AZ)
Investigation Report (AZ)
Request for Follow Up Report (AZ)
Follow Up Investigation Report (AZ)
Assignment Letter & Pre-Contract Questionnaire (AZ)
Investigations Report Outline (TX)
Pending Investigation Chart (TX)

Component 5: Hearings

Board Final Order (VA)
Formal Hearing – Order to pay Fees (NE)
Findings and Order – Probation (NE)
Emergency Order for Revocation and Notice (NC)
Subpoena – Cover Letter to Respondent (SC)
Subpoena (SC)
Notice of Hearing – To Respondent (SC)
Notice of Hearing (SC)
Litigation Flow Chart (TX)
Expert Witness Designation (TX)
Motion to Continue (TX)

Component 6: Sanctions and Compliance

Cost Recovery Policy
Disciplinary Guidelines and Model Disciplinary Orders (CA)
Consent Order (CPE violation) (NC)
Consent Order (late renewal) (NC)
Consent Agreement – Closing Letter to Complainant (SC)
Consent Agreement – Cover Letter to Respondent (SC)
Consent Agreement – Closing Letter to Respondent (SC)
ACO Monitoring Flow Chart (TX)
Probation Report (TX)

Component 8: Recording and Publicly Reporting Decisions and Sanctions

Press Release (NE)

Component 9: Monitor Provisions and Sanctions

Procedural Flowchart
Sample Probation Monitoring List
Sample Probation Report


Enforcement Guide Home
Components of Enforcement
State Board Models
Sample Forms & Reports