21 NCAC .04 Licensing

Grounds for License Denial or Discipline

• The Auctioneer Licensing Board may deny, suspend, or revoke a license or issue a letter of reprimand based on several grounds.
• These grounds include violations of North Carolina General Statutes (G.S.) 85B and rules of the Subchapter.
• A license can also be denied if a check given to the Board is returned unpaid.
• Unlicensed individuals are prohibited from calling bids at a sale, except as authorized by 21 NCAC 04B.0506.
• A license can be denied for auctioneering at an unlicensed auction firm sale.
• Applications for a license, renewal, or reinstatement require truthful information. False statements or lack of cooperation during investigations can lead to license denial.
• A license can be denied if a licensee is adjudicated mentally incompetent by a court.
• A license can be denied if a licensee is convicted of a crime that meets the requirements of G.S. 93B-8.1(b).
• A license can be denied for any violation of a federal or state statute, rule, or regulation that relates to the auctioneering profession.
• A license can be denied for practicing the profession while impaired by alcohol, drugs, or physical or mental disability or disease.
• A license can be denied for being incompetent in practice, meaning the licensee engaged in conduct that shows a lack of ability, fitness, or knowledge to apply principles or skills of the auctioneering profession.
• A license can be denied for engaging in unprofessional conduct, which includes committing any prohibited act as set forth in G.S. 85B-8(a).
• A license can be denied for obtaining or attempting to obtain compensation by fraud or deceit.
• A license can be denied for violating any order of the Auctioneer Licensing Board requiring a licensee to comply with any provision of the Board's law or administrative rules.
• A license can be denied for failing to demonstrate truth, honesty, and integrity, which can be shown by proof of violation of other provisions of the Board's law and administrative rules.
• A license can be denied for failure to make disclosures required by 21 NCAC 04B.0405.b.

Involvement in Court Action or Administrative Hearing

• Auctioneers, apprentice auctioneers, and auction firms, including their principals and designated persons, must report certain criminal arrests, charges, or convictions to the Board. This includes misdemeanors involving dishonesty, deceit, fraud, or misrepresentation, and any felonies.
• The Board must be notified within 30 days of the occurrence of any arrest, charge, or criminal conviction.
• Auctioneers, apprentice auctioneers, and auction firms must also report civil suits involving allegations of gross negligence, dishonesty, fraud, misrepresentation, or incompetency, or those involving an auction sale or a transaction related to an auction matter or auctioneering.
• The Board must be notified within 30 days of the date the complaint in the suit is served on the defendant or the date a pleading containing such allegations is served on a party.
• Auctioneers, apprentice auctioneers, and auction firms must report administrative proceedings commenced against them that involve any potential revocation or suspension of, or other disciplinary action against, any auction license or auctioneer license held in another state.
• The Board must be notified within 30 days of the date the auctioneer, apprentice auctioneer, or auction firm is notified of the administrative proceeding.

Apprentice Auctioneer License Status

• An apprentice auctioneer must notify the Board, in writing, within 10 days of termination of their association with their supervising auctioneer. This will place their license in an invalid status.
• An apprentice auctioneer's license will also be placed in an invalid status if their supervising auctioneer's license is suspended or revoked.
• An apprentice auctioneer with an invalid license due to lack of a sponsor for more than 90 days will be required to submit a reinstatement fee upon securing an approved sponsor.
• Both licensees must notify the Board in writing within 10 days of termination, specifying the date and cause.
• The apprentice auctioneer's license will be placed in an invalid status at this time unless at least one Board-approved supervisor remains in place.

This quiz covers the key grounds for license denial or discipline as specified by the North Carolina Auctioneer Licensing Board. It includes important statutes and rules that govern auctioneer conduct and licensing. Understand the implications of violations and judicial determinations related to license status.