(a) The board may, upon its own motion, and shall, upon the verified complaint in writing of any person containing evidence, documentary or otherwise, that makes out a prima facie case, investigate the actions of any auctioneer, apprentice auctioneer, or any person who assumes to act in either capacity, and hold a hearing on the complaint.

Attorney's Note

Under the Alabama Code, punishments for crimes depend on the classification. In the case of this section:
ClassPrisonFine
Violationup to 30 daysup to $200
For details, see Ala. Code § 13A-5-7
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Terms Used In Alabama Code 34-4-29

  • Affidavit: A written statement of facts confirmed by the oath of the party making it, before a notary or officer having authority to administer oaths.
  • Complaint: A written statement by the plaintiff stating the wrongs allegedly committed by the defendant.
  • Contract: A legal written agreement that becomes binding when signed.
  • Deposition: An oral statement made before an officer authorized by law to administer oaths. Such statements are often taken to examine potential witnesses, to obtain discovery, or to be used later in trial.
  • Escrow: Money given to a third party to be held for payment until certain conditions are met.
  • Evidence: Information presented in testimony or in documents that is used to persuade the fact finder (judge or jury) to decide the case for one side or the other.
  • following: means next after. See Alabama Code 1-1-1
  • Injunction: An order of the court prohibiting (or compelling) the performance of a specific act to prevent irreparable damage or injury.
  • Jurisdiction: (1) The legal authority of a court to hear and decide a case. Concurrent jurisdiction exists when two courts have simultaneous responsibility for the same case. (2) The geographic area over which the court has authority to decide cases.
  • person: includes a corporation as well as a natural person. See Alabama Code 1-1-1
  • Probation: A sentencing alternative to imprisonment in which the court releases convicted defendants under supervision as long as certain conditions are observed.
  • property: includes both real and personal property. See Alabama Code 1-1-1
  • state: when applied to the different parts of the United States, includes the District of Columbia and the several territories of the United States. See Alabama Code 1-1-1
  • Trustee: A person or institution holding and administering property in trust.
  • writing: includes typewriting and printing on paper. See Alabama Code 1-1-1
  • year: means a calendar year; but, whenever the word "year" is used in reference to any appropriations for the payment of money out of the treasury, it shall mean fiscal year. See Alabama Code 1-1-1
(b) The board may invoke disciplinary action whenever it shall be established to the satisfaction of the board, after a hearing as hereinafter provided, that any licensee is guilty of any of the following acts:

(1) Making any substantial misrepresentation.
(2) Pursuing a continued and flagrant course of misrepresentation or making false promises through agents, advertising, or otherwise.
(3) Accepting valuable consideration as an apprentice auctioneer for the performance of any of the acts specified in this chapter from any person other than his or her employer auctioneer.
(4) Failing to account for or remit, within 30 days, any money belonging to others that comes into his or her possession, commingling funds of others with his or her own, or failing to keep funds of others in an escrow or trustee account.
(5) Paying valuable consideration to any person for services performed in violation of this chapter.
(6) Being convicted in a court of competent jurisdiction of this or any other state of a criminal offense involving moral turpitude or a felony.
(7) Violating any rule adopted by the board.
(8) Failing to furnish voluntarily at the time of execution copies of all written instruments prepared by the licensee.
(9) Demonstrating bad faith, dishonesty, incompetency, or untruthfulness.
(10) Demonstrating improper, fraudulent, or dishonest dealings.
(11) Having had any license to practice a business or profession in this or any other state or jurisdiction revoked, suspended, annulled, sanctioned, or otherwise having any disciplinary action taken against him or her by any other licensing authority in this or any other state.
(12) Failing before the sale at public auction, to enter into a written contract with the owner or cosignee of the property to be sold containing the terms and conditions upon which the licensee received the property for sale.
(13) Failing to display his or her name and state license number in all advertising for an auction the licensee is conducting.
(14) Presenting a worthless check to the board.
(15) Filing frivolous, unfounded complaints with the board.
(16) Knowingly making any misleading, false, or deceptive statement on any application for a license.
(17) Aiding or abetting an unlicensed person in the performance of acts that require a license under this chapter.
(18) Violating any other provision of this chapter.
(c) When the board finds any licensee guilty of any of the grounds set forth in subsection (b), the board may enter an order imposing one or more of the following penalties:

(1) A letter of reprimand.
(2) Probation for a period of time and subject to any condition prescribed by the board.
(3) Denial of an application for an initial or renewal license.
(4) Suspension of a license for a period of time established by the board, with or without automatic reinstatement.
(5) Revocation of a license.
(6) Imposing continuing education requirements in the area or areas in which the licensee has been found deficient.
(7) Assessment of the costs of any disciplinary proceedings on the licensee.
(d) Before denying an application for license or suspending or revoking any license, the board shall hold a hearing and, at least 21 days before the date set for the hearing, shall notify in writing the accused licensee of the charges made or the question to be determined, including notice of the time and place of the hearing, and afford the licensee an opportunity to be present, be heard in person or by counsel, and to offer evidence orally, or by affidavit or deposition. Written notice may be served by delivery of the notice personally to the applicant or licensee or by mailing the notice by registered or certified mail to the last known mailing address of the applicant or licensee. If the applicant or licensee is an apprentice auctioneer, the board shall also notify the auctioneer employing him or her, or whose employ he or she is about to enter, by mailing notice by registered or certified mail to the auctioneer’s last known address. The hearing shall be held at a time and place prescribed by the board and shall proceed in accordance with the Alabama Administrative Procedure Act. The board may deny any applicant for an apprentice auctioneer or auctioneer license the right to take an examination for a period of up to one year if the applicant is found by the board to have conducted auction business within this state as an apprentice auctioneer or auctioneer without first having been properly licensed.
(e) In addition to the disciplinary powers granted in this section, the board may levy and collect administrative fines from any person for violations of this chapter or the rules of the board of not less than two hundred dollars ($200) or more than one thousand five hundred dollars ($1,500) for each violation.
(f) The board may seek an injunction against any person in violation of this chapter in addition to the penalties and disciplinary powers otherwise conferred upon the board herein. In an action for an injunction, the board may demand and recover a civil penalty of fifty dollars ($50) per day for each violation, reasonable attorney fees, and court costs.
(g) Failure to comply with any final order of the board is cause for suspension or revocation of a license. The board may also suspend or revoke any license that has been issued based on false or fraudulent representations.
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