12-1004-16894-2
STATE OF
OFFICE OF ADMINISTRATIVE HEARINGS
FOR THE COMMISSIONER OF COMMERCE
|
In the
Matter of the Insurance Producers License of Lisa Sue Mize, License No. IN 20327189 |
FINDINGS OF FACT, CONCLUSIONS, AND RECOMMENDATION |
The above-entitled matter came on for
a prehearing conference before Administrative Law Judge Steve M. Mihalchick on December
9, 2005, at 2:30 p.m. at the Office of Administrative Hearings in
This Report is a recommendation, not
a final decision. The Commissioner of
Commerce will make the final decision after a review of the record. The Commissioner may adopt, reject or modify
the Findings of Fact, Conclusions, and Recommendations. Under Minn. Stat. § 14.61, the final decision
of the Commissioner shall not be made until this Report has been made available
to the parties to the proceeding for at least ten days. An opportunity must be afforded to each party
adversely affected by this Report to file exceptions and present argument to
the Commissioner. Parties should contact
the office of Kevin Murphy, Deputy Commissioner of Commerce,
If the Commissioner fails to issue a final decision within 90 days of the close of the record, this report will constitute the final agency decision under Minn. Stat. § 14.62, subd. 2a. The record closes upon the filing of exceptions to the report and the presentation of argument to the Commissioner, or upon the expiration of the deadline for doing so. The Commissioner must notify the parties and the Administrative Law Judge of the date on which the record closes.
STATEMENT OF ISSUES
The
issues presented in this case are whether the Respondent, Lisa Sue Mize, failed
to report to the Department her criminal conviction as an accessory
after-the-fact to grand theft larceny or mention the conviction on her
application for an individual non-resident insurance producer’s license, and
whether the Respondent thereby violated Minn. Stat. §§ 45.027, subd. 7(3), and 60K.43,
subd. 1(1), (3) and (6) by providing incomplete and untrue information in her
licensing application, obtaining a license through fraud or misrepresentation,
and being convicted of a violation involving moral turpitude; and, if so,
whether the Respondent should be subject to discipline, censure or a civil
penalty pursuant to Minn. Stat. §§ 45.027, subds. 6 and 7, and
60K.43.
Based upon all of the proceedings
herein, the Administrative Law Judge makes the following:
FINDINGS OF FACT
1. The Notice of
and Order for Hearing, Order for Prehearing Conference, Order to Show Cause,
and Statement of Charges initiating this contested case proceeding was served
on the Respondent, Lisa Sue Mize, via first class mail on October 26, 2005, at
the following address: 403 Morrison
Circle, Summersville, WV 26651.[1]
2. The Notice of
and Order for Hearing, Order for Prehearing Conference, and Statement of
Charges set a prehearing conference for December 9, 2005, at 2:30 p.m.[2]
3.
The Notice of and Order for Hearing, Order for Prehearing
Conference, and Statement of Charges contained the following language:
Respondent’s
failure to appear at the prehearing conference may result in a finding that
Respondent is in default, that the Department’s allegations contained in the
Statement of Charges may be accepted as true, and that its proposed disciplinary
action may be upheld.[3]
4.
The Respondent did not file a notice of appearance or make
any request prior to the December 9, 2005, prehearing conference for a
continuance or any other relief. No one
appeared at the prehearing conference on December 9, 2005 on behalf of the
Respondent.
5.
Because the Respondent failed to appear at the prehearing
conference in this matter, she is in default.
6.
Pursuant to Minn. Rules part 1400.6000, the allegations
contained in the Notice of and Order for Hearing, Order for Prehearing
Conference, and Statement of Charges are hereby taken as true and incorporated
into these Findings of Fact.
Based upon the foregoing Findings of
Fact, the Administrative Law Judge makes the following:
CONCLUSIONS
1.
The Administrative Law Judge and the Commissioner of
Commerce have jurisdiction over this matter pursuant to Minn. Stat. §§ 14.50,
45.027, and 60K.43, subd. 2.
2.
The Notice of and Order for Hearing, Order for Prehearing
Conference, and Statement of Charges issued by the Department was proper and
the Department has complied with all
relevant procedural legal requirements.
3.
The Respondent, having made no appearance at the prehearing
conference, and not requesting any continuance or relief, is in default. Pursuant to Minn. Rules part 1400.6000, the
allegations contained in the Notice of and Order for Hearing, Order for
Prehearing Conference, and Statement of Charges are hereby taken as true.
4.
By providing incomplete and untrue information in her
licensing application, obtaining a license through fraud or misrepresentation,
and being convicted of a violation involving moral turpitude, the Respondent
has violated Minn. Stat. § 60K.43, subd. 1(1), (3) and (6). The Respondent’s license is subject to
discipline and the Respondent is subject to censure and/or civil penalties
pursuant to Minn. Stat. §§ 45.027, subds. 6 and 7, and 60K.43. The
imposition of sanctions is in the public interest.
Based
upon the foregoing Conclusions, the Administrative Law Judge makes the following:
IT IS HEREBY RECOMMENDED that the Commissioner of
Commerce discipline, censure, and/or impose an appropriate civil penalty
against the Respondent, Lisa Sue Mize.
Dated: December 22, 2005
|
/s/
Steve M. Mihalchick |
|
STEVE
M. MIHALCHICK |
|
Administrative
Law Judge |
Reported: Default (no tape recordings).
If the Commissioner fails to issue a final decision within 90 days of the close of the record under Minn. Stat. § 14.61, this report becomes a final decision. In order to comply with Minn. Stat. § 14.62, subd. 2a, the Commissioner must then return the record to the Administrative Law Judge within 10 working days to allow the Judge to determine the discipline to be imposed.