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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.

Enforcement

Enforcement 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, Enforcement 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 Enforcement, click here.


Compliance

Compliance is the process that ensures a Respondents adherence to ordered terms. If you are subject to a compliance action (i.e. Consent Order), please refer to the Department’s Compliance Frequently Asked Questions (FAQs) for any questions. Compliance forms are available on the Department’s website by clicking Compliance Forms, or by clicking the “Forms & Publications” tab on www.azre.gov and clicking “Compliance – Forms and Documents.” If you need to submit trust account reconciliations, please refer to “Instructions for Submitting Trust Account Reconciliations” in the blue menu on the right hand side of the page. You may also refer to the sample form AUD-101 “Property Management Trust Account Reconciliation” form for guidance on how to fill out the Reconciliation Form required with each submission.

If you still have questions, you may contact the Compliance Officer by clicking here