Enforcement and Compliance (E&C) Division

Alleged violations of Arizona law are reviewed by and processed through the Enforcement and Compliance (E&C) Division.  The division refers some matters for hearing, negotiates settlement of others and follows up and enforces compliance with ordered terms.

E&C reviews investigative files pertaining to criminal histories and allegations of law and rule violations by licensees, applicants for licensure and others.  “Licensees” include salespersons and brokers, subdividers, unsubdivided land developers, cemetery, time-share and membership campground operators, and real estate school administrators and instructors.

On receipt of investigative files, the division may resolve substantive allegations of real estate violations through stipulated settlement (consent order/accelerated settlement agreement), or may refer the file for administrative hearing or mediation.  It may be appropriate for the Department to take an “appealable agency action,” to deny or suspend approval or licensure, or to issue an order to “cease and desist”.  The action taken is dependent upon the facts and seriousness of the alleged violations, the potential for harm to the public, and any aggravating or mitigating circumstances, including previous violations by the parties involved.

The manner in which contested cases and appealable agency actions are handled is prescribed by Arizona Revised Statutes (“ARS”) and Arizona Administrative Code (“AAC”), (a.k.a. the Commissioner’s Rules).  See ARS §§ 41-1061, et seq., and 41-1092, et seq., Administrative Proceedings; Title 32, Chapter 20, Real Estate § 32-2101, et seq. and the Commissioner’s Rules R4-28-101, et seq.  The Office of Administrative Hearings (“OAH”) has adopted rules to further clarify procedures for hearings R2-19-101 et seq.

To contact the Enforcement & Compliance Division, click here.