Tuesday, Mar. 9^th 2010

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Providing Representation Throughout Illinois
Our attorneys have tried cases in state and federal court all over Illinois. We have appeared in over 20 counties in Illinois, representing our clients in a number of different legal and equitable disputes. Our lawyers have extensive appellate court experience and have argued before the Illinois Supreme Court and all five Illinois Appellate Court Districts.
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1. How do I know if I am under the IDFPR "Radar?"
The Illinois Department of Financial and Professional Regulation has various methods of contacting a licensee if it thinks there has been a problem, and the three (3) most common methods are as follows: 1) A member of the Department's investigative unit will contact you via telephone or in person 2) The Department will send you a notice of Disciplinary Conference or notice of Informal Conference or 3) The Department will file and send you with a formal complaint and a notice of preliminary hearing. Many of our clients are contacted by the Department shortly after an unusual occurrence at the office, such as a patient complaint or a bad outcome.

2. How do I know who made a complaint against my license at the Department?
If you settle a malpractice case or are found negligent in a malpractice trial, you are automatically reported to the Department. If you are convicted in a criminal, the prosecutor is required to report you to the Department. Also, an individual can initiate a formal grievance to the Department via the telephone or through its IDFPR website complaint intake process. Oftentimes a licensee knows who has filed a grievance against his or her license, however pursuant to Illinois law the Department does not have to reveal the complainant unless it files formal complaint or requests that you meet for an informal conference. In other words, during the investigation stage, the Department will keep the complainants' name private, but if it wants to try to discipline your license, it must reveal that individual's identity.

3. What do I do when I am contacted by the IDPFR?
First, don't panic. Many complaints made to the Department are dropped after the Department learns the facts. Department Investigators are very savvy when it comes getting people to talk since they are often former detectives or investigators from state and federal agencies. Some licensees think that asking for an attorney to be present during an interview makes them "look guilty." Others think that they can handle an investigator's questions on their own. However, our experience has proven that the most successful defenses against disciplinary actions result from licensees seeking the advice from an attorney before the investigation begins.

Therefore, when you are contacted by an investigator, either on the phone or in person immediately seek the advice of an attorney who is experienced in licensing matters. Licensees who represent themselves in disciplinary proceedings at the Department often do not receive the level of respect they deserve and as a result they find their livelihoods in jeopardy because of it. Oftentimes a licensee will seek guidance from an attorney who doesn't specialize in licensing matters, such as their real estate or probate attorney, and this can also cause negative results since the defense of licenses is a highly specialized area of law and requires an intimate knowledge of how the Department functions.

4. What qualifications am I looking for in a licensing attorney?
If you have been contacted by the Department, you need attorney who specializes in licensing matters, one who is at the Department every week. In order to get the best results, it is crucial to be represented by someone who has an active caseload at the Department and by someone who is at the Department on a regular basis. An attorney who is at the Department on a regular basis is able establish relationships with the prosecutors and the investigators and most importantly has had plenty of exposure with the board members and the administrative law judges. The attorneys at the Goldberg Law Group have as much, if not more, experience than any other attorney in Illinois when it comes to dealing with the Department. We encourage you to contact your professional association or even the prosecutors at the Department to learn more about our firm's reputation in handling licensing matters.

5. What is a Disciplinary Conference (also known as an Informal Conference)?
This is a meeting between yourself, an attorney for the Department and a member of the Disciplinary Board. At this meeting, you will have an opportunity to explain your side of the story, and the goal is to try to convince the Department to drop your case. The Conference is not a hearing. There is no court reporter, and there is no witness testimony. The Conference is essentially a conversation between you and the Board Member about the complaint against you.

6. How do I prepare myself for a Disciplinary or Informal Conference?
The Answer to this question is to simply prepare yourself the same way you would prepare yourself for a formal hearing. The Department often times uses the "Informal" process to intimidate and encourage licensees to settle cases without having to put in the time and resources of having to prepare itself for a formal hearing. In doing so, it has every expectation that you provide it with a full an accurate defense to its allegations in the "Informal" stage. Furthermore, during the informal process there is always a member of your disciplinary board present at your conference who will be the same board member who will be advising the entire board if your matter results in a formal hearing. It is crucial to provide your attorney with any and all documentation sent to you by the Department and any and all relevant documentation relevant to it allegations. If your licensing attorney has not prepared you for an informal proceeding as if it was a "formal" hearing then you have most likely hired the wrong attorney.

7. How long does the Disciplinary process take?
Because of the heavy volume of disciplinary matters in Illinois, your case will be slower in Illinois than in most other states. Depending on the severity of the allegations, an average licensing matter can last from 3 to 5 months from notification by the Department until its final adjudication. If a matter is still in the investigative stage it can last much longer. If a matter is an application case it can last much longer still. The various disciplinary boards have anywhere from 5 to 12 board members, and it is difficult for the Department to cover all of its cases given the volume of complaints and lack of board member availability. Therefore, it is important to hire an attorney who specializes in practicing in the area of licensing, since that attorney will know how to work within the system to see that your matter resolved as quickly (and favorably) as possible.

8. Can I be disciplined for matters that are not work related?
The answer to this question is yes. Each and every licensee can be disciplined for any conduct outside of their place of employment including but not limited to criminal activity, failure to pay income taxes, failure to pay child support and the use of drugs and alcohol in an abusive manner. However, there is a level of due process that each and every individual enjoys under the Constitution and all of its amendments regarding activity that occurs away from the workplace environment.

9. What are the different types of disciplines that may be imposed?
After a full adjudication of your matter the disciplinary board having jurisdiction over your license will make a recommendation. If your case ends up in the formal hearing phase then your matter will be assigned to an administrative law judge who will also make a recommendation first. The following are the standard disciplinary actions if your case is not closed and or dismissed all of which become public record and are posted on the IDFPR website permanently. 1) Reprimand 2) probation 3) suspension 4) revocation. A licensee who represents him or herself is more likely to end up with a discipline on their record then one who is represented by an attorney. The chances of success are tremendously enhanced by seeking the advice of an experienced licensing attorney.

10. What is the formal hearing process?
In those cases that cannot be settled or cases that the department has refused to settle, there is what is called the formal hearing process. The formal hearing process starts when the Department has files a complaint and sends it to you. After you are given time to respond in writing to the complaint an administrative law judge will determine a schedule of dates that you and the Department must exchange evidence and a have a hearing. The hearing will be conducted at the Department where each party will have an opportunity to present evidence through documentation and live testimony under oath involving a court reporter. Unlike an Informal Conference, this proceeding is public, on the record and all the Illinois civil rules of evidence apply. Unlike an Informal conference, the hearing result will be determined by an administrative law judge who will make a written recommendation within a statutory time limit. The disciplinary board will either have a member present at the hearing or read the transcript of the hearing and either adopt or make changes to the judges recommendation as it sees fit. It is crucial to seek the guidance of an attorney with experience at the Department before going through with the formal hearing process.