FREQUENTLY ASKED QUESTIONS ABOUT PROFESSIOANAL LICENSING AND DISCIPLINE
Disclaimer: The information contained on this page is not legal advice. The information provided on this website is for general informational purposes and is not necessarily updated to account for changes in the law. You should consult with an attorney for legal advice regarding your individual circumstances.
I just received a letter denying my application for a professional license. Does this mean I’ll never be able to work in this profession?
Professional licensing boards and agencies may deny an application for a professional license or certification for a variety of reasons. In some instances, the denial may be the product of failing to provide or complete required documentation. In other cases, there may be a determination that the applicant failed to meet some requirement imposed by law, such as passing certain courses or completing certain academic requirements, or past disciplinary action or criminal convictions which may be considered as a basis to deny the application. Professionals may be able to request a hearing or appeal the denial of the application, or in some cases resubmit applications or reapply at a later date, in an effort to obtain the needed license or certification. If you have any questions about what needs to be done to have your application approved, or if you feel the application was wrongly denied, you should speak with an attorney and may be entitled to a hearing on the application denial.
I just received a letter notifying me that one of my former clients has filed a complaint against me. What should I do next?
Upon learning someone has filed a complaint against your license, your first reaction may be anger, fear, or some other emotion which could lead to an irrational or unwise response. Rather than respond emotionally, your first step should be to contact an attorney to discuss an appropriate response. The fact that you have been put on notice of a complaint does not necessarily mean that the complaint is justified. The state is obligated to investigate complaints they receive against licensed professionals. An experienced attorney can help you with preparing and submitting your response, either behind the scenes or directly in correspondence with the investigating agency.
I don’t think I did anything wrong. If I just ignore the state’s letters, will it just go away on its own?
No. Instead of concluding there must be nothing to the complaint if you fail to respond, the investigating agency will more likely reach the opposite conclusion– that your failure to respond is an admission that you’ve done something wrong and are trying to avoid responsibility. Hoping the problem will just go away is just wishful thinking.
My work schedule is too busy for me to respond to the state in the timeline they gave me. What can I do?
An investigator or attorney may request a response from you within a relatively short period of time. Deadlines are usually provided because people tend to ignore them if no deadline is given. The state may be receptive to granting short extensions to respond, particularly when the license holder expresses an intent to retain counsel. Once an attorney is involved in the case, he or she can handle all communications with the state on your behalf so you can focus on your practice.
Have you been successful in representing clients in state investigations, resulting in no action taken against this client’s license?
Yes. Although each case will be decided on its own facts, there have been many situations in which we have been able to persuade the state that a complaint lacks merit and is not worth pursuing as a disciplinary case. The fact that an investigation has been opened does not necessarily mean that a complaint will result in a disciplinary action.
Everyone in my profession does the same thing I’m accused of doing by the state. Why are they singling me out for discipline?
The state will generally investigate when it is notified of a possible violation of laws, regulations, or standards in a particular profession. That most often arises from individual complaints. The state will probably not be sympathetic to the argument that "everybody does it," if there is evidence of wrongdoing. What will be important is establishing that you haven’t violated any professional standards or rules, or that any technical violations do not justify discipline against your professional license.
If I did make a mistake, does that necessarily mean I’m going to lose my license?
Although revocation is an option available to any licensing board upon evidence of some infractions, many complaints do not result in the license holder losing his or her license. Depending on the profession, other alternatives include: 1) an administrative warning, which is not considered discipline and the contents of which are not made a public record, 2) a written reprimand, 3) an order to complete education requirements relating to the subject of the complaint, 4) payment of a fine and/or investigative costs, 5) specified limits on the license holder’s activities for a period of time, or 6) suspension of the license for a specified period of time. The resolution of an individual case sometimes includes more than one of these options.
How long will it take before I know if I’m no longer being investigated?
We understand that clients want to know as soon as possible if they’ve been exonerated of any wrongdoing. However, state boards and agencies have limited investigative resources and are not always able to complete investigations in a short period of time. Although some cases are resolved within a few weeks of first contact from the state, other cases will take several months or longer before the investigating agency determines whether a complaint will be prosecuted.
A state investigator wants to speak with me about what happened. Should I return his or her call?
Keep in mind that unlike an attorney you may hire, a state investigator is not necessarily looking out for your best interests. Their job is to evaluate whether any laws, regulations, or other professional standards have been broken, and if so, to prosecute the license holder for those violations. Any voluntary statements or documents you provide may eventually be used as part of the case against you. With that in mind, you should work with an attorney to coordinate an appropriate response to the state.
I don’t think the state investigator or attorney really understands the issues because they don’t work in my profession. Is that going to be a problem?
Every profession uses its own terminology and has practice rules or standards that may not be familiar to someone who doesn’t work in the profession. That being the case, it would not be surprising or unusual to find that a state investigator or attorney may not initially understand a complaint or your defenses. An attorney can often help to bridge the gap between you and the state investigator to make sure that your side of the story is fully considered and understood.
Who can I speak with about this situation without it coming back to hurt me?
Communications between you and your own attorney are usually confidential because of the attorney-client privilege. On the other hand, communications with co-workers and third parties could be discovered by the state and used against you in a disciplinary proceeding.
If I discover who filed the complaint against me, should I follow up with that person to see if they’ll withdraw the complaint?
You should consult with your own attorney prior to having contact with the complainant. The state can move forward with the disciplinary process regardless of the original complainant’s wishes. In most cases, your focus should be on appropriately responding to the state’s investigation.
The state has made an offer to settle the complaint. Should I take it?
Whether a settlement offer is fair and reasonable for a particular license holder requires consideration of many variables, including the strength of the evidence of wrongdoing, the potential discipline the license holder would otherwise be facing, and the likelihood of success at a contested hearing. What may be appropriate in one case may not be appropriate in a different situation. In many cases, our attorneys have been successful in negotiating more favorable terms for the license holder than what was contained in the state’s original settlement offer.
What happens if I reach a settlement with the state?
The usual process is that the settlement will be reduced to a written stipulation, signed by the license holder, his/her attorney, and a state representative. The stipulation is then submitted along with a proposed order to the board or agency which oversees the particular license holder. In most cases, the order will be presented for approval at the next meeting of the board or agency. Before a stipulation is entered into with a license holder, state investigators and attorneys often consult with a case advisor who sits on the presiding board to obtain a sense for whether the proposed action is considered appropriate under the facts of the case, so the outcome of the meeting is usually not a surprise.
I tried to handle the complaint on my own but the state has filed a formal action against my license. Is it too late for you to help me?
The need for legal counsel once a formal action has been filed is greater than ever. An attorney can help prepare your case, advocate on your behalf at a contested hearing, and continue to attempt to negotiate a favorable settlement for you. Although no lawyer can guarantee a result, don’t feel like "it’s too late" for a lawyer to help. With that said, it is advisable to consult with an attorney earlier in the process, to increase the likelihood of a favorable result.
What happens if the state files a formal action against my license?
In most cases, the license holder will need to file an answer to the formal complaint, and then the case will be assigned to an administrative law judge for an evidentiary hearing, if needed. The findings of that hearing will then be turned over to the board which presides over the particular license holder for disciplinary action if appropriate. This legal process is similar in many ways to a trial, and license holders may be at a disadvantage if they proceed without counsel. The state will usually have an attorney to prosecute the case against the license holder.
Can my clients find out if I’ve been disciplined?
Although some members of the public may not know how or where to look, a license holder’s history of discipline is usually a matter of public record. Consequently, a license holder should give serious consideration as to whether to agree to a disciplinary action against his or her license.
I’m licensed in states other than Wisconsin. Is discipline in Wisconsin going to be a problem for me in other states? Is discipline in another state going to be a problem for me in Wisconsin?
Every state has its own professional licensing rules and standards. Many states, including Wisconsin, contain provisions governing "reciprocal discipline," meaning if you’ve been disciplined (or had other adverse action such as denial of an application) in one state, you can be disciplined on the same basis in another state. License holders are encouraged to consult with an attorney to determine what obligations they may have to disclose any disciplinary actions if they are licensed in more than one jurisdiction.
Disclaimer: The information contained on this page is not legal advice. The information provided on this website is for general informational purposes and is not necessarily updated to account for changes in the law. You should consult with an attorney for legal advice regarding your individual circumstances.
I just received a letter denying my application for a professional license. Does this mean I’ll never be able to work in this profession?
Professional licensing boards and agencies may deny an application for a professional license or certification for a variety of reasons. In some instances, the denial may be the product of failing to provide or complete required documentation. In other cases, there may be a determination that the applicant failed to meet some requirement imposed by law, such as passing certain courses or completing certain academic requirements, or past disciplinary action or criminal convictions which may be considered as a basis to deny the application. Professionals may be able to request a hearing or appeal the denial of the application, or in some cases resubmit applications or reapply at a later date, in an effort to obtain the needed license or certification. If you have any questions about what needs to be done to have your application approved, or if you feel the application was wrongly denied, you should speak with an attorney and may be entitled to a hearing on the application denial.
I just received a letter notifying me that one of my former clients has filed a complaint against me. What should I do next?
Upon learning someone has filed a complaint against your license, your first reaction may be anger, fear, or some other emotion which could lead to an irrational or unwise response. Rather than respond emotionally, your first step should be to contact an attorney to discuss an appropriate response. The fact that you have been put on notice of a complaint does not necessarily mean that the complaint is justified. The state is obligated to investigate complaints they receive against licensed professionals. An experienced attorney can help you with preparing and submitting your response, either behind the scenes or directly in correspondence with the investigating agency.
I don’t think I did anything wrong. If I just ignore the state’s letters, will it just go away on its own?
No. Instead of concluding there must be nothing to the complaint if you fail to respond, the investigating agency will more likely reach the opposite conclusion– that your failure to respond is an admission that you’ve done something wrong and are trying to avoid responsibility. Hoping the problem will just go away is just wishful thinking.
My work schedule is too busy for me to respond to the state in the timeline they gave me. What can I do?
An investigator or attorney may request a response from you within a relatively short period of time. Deadlines are usually provided because people tend to ignore them if no deadline is given. The state may be receptive to granting short extensions to respond, particularly when the license holder expresses an intent to retain counsel. Once an attorney is involved in the case, he or she can handle all communications with the state on your behalf so you can focus on your practice.
Have you been successful in representing clients in state investigations, resulting in no action taken against this client’s license?
Yes. Although each case will be decided on its own facts, there have been many situations in which we have been able to persuade the state that a complaint lacks merit and is not worth pursuing as a disciplinary case. The fact that an investigation has been opened does not necessarily mean that a complaint will result in a disciplinary action.
Everyone in my profession does the same thing I’m accused of doing by the state. Why are they singling me out for discipline?
The state will generally investigate when it is notified of a possible violation of laws, regulations, or standards in a particular profession. That most often arises from individual complaints. The state will probably not be sympathetic to the argument that "everybody does it," if there is evidence of wrongdoing. What will be important is establishing that you haven’t violated any professional standards or rules, or that any technical violations do not justify discipline against your professional license.
If I did make a mistake, does that necessarily mean I’m going to lose my license?
Although revocation is an option available to any licensing board upon evidence of some infractions, many complaints do not result in the license holder losing his or her license. Depending on the profession, other alternatives include: 1) an administrative warning, which is not considered discipline and the contents of which are not made a public record, 2) a written reprimand, 3) an order to complete education requirements relating to the subject of the complaint, 4) payment of a fine and/or investigative costs, 5) specified limits on the license holder’s activities for a period of time, or 6) suspension of the license for a specified period of time. The resolution of an individual case sometimes includes more than one of these options.
How long will it take before I know if I’m no longer being investigated?
We understand that clients want to know as soon as possible if they’ve been exonerated of any wrongdoing. However, state boards and agencies have limited investigative resources and are not always able to complete investigations in a short period of time. Although some cases are resolved within a few weeks of first contact from the state, other cases will take several months or longer before the investigating agency determines whether a complaint will be prosecuted.
A state investigator wants to speak with me about what happened. Should I return his or her call?
Keep in mind that unlike an attorney you may hire, a state investigator is not necessarily looking out for your best interests. Their job is to evaluate whether any laws, regulations, or other professional standards have been broken, and if so, to prosecute the license holder for those violations. Any voluntary statements or documents you provide may eventually be used as part of the case against you. With that in mind, you should work with an attorney to coordinate an appropriate response to the state.
I don’t think the state investigator or attorney really understands the issues because they don’t work in my profession. Is that going to be a problem?
Every profession uses its own terminology and has practice rules or standards that may not be familiar to someone who doesn’t work in the profession. That being the case, it would not be surprising or unusual to find that a state investigator or attorney may not initially understand a complaint or your defenses. An attorney can often help to bridge the gap between you and the state investigator to make sure that your side of the story is fully considered and understood.
Who can I speak with about this situation without it coming back to hurt me?
Communications between you and your own attorney are usually confidential because of the attorney-client privilege. On the other hand, communications with co-workers and third parties could be discovered by the state and used against you in a disciplinary proceeding.
If I discover who filed the complaint against me, should I follow up with that person to see if they’ll withdraw the complaint?
You should consult with your own attorney prior to having contact with the complainant. The state can move forward with the disciplinary process regardless of the original complainant’s wishes. In most cases, your focus should be on appropriately responding to the state’s investigation.
The state has made an offer to settle the complaint. Should I take it?
Whether a settlement offer is fair and reasonable for a particular license holder requires consideration of many variables, including the strength of the evidence of wrongdoing, the potential discipline the license holder would otherwise be facing, and the likelihood of success at a contested hearing. What may be appropriate in one case may not be appropriate in a different situation. In many cases, our attorneys have been successful in negotiating more favorable terms for the license holder than what was contained in the state’s original settlement offer.
What happens if I reach a settlement with the state?
The usual process is that the settlement will be reduced to a written stipulation, signed by the license holder, his/her attorney, and a state representative. The stipulation is then submitted along with a proposed order to the board or agency which oversees the particular license holder. In most cases, the order will be presented for approval at the next meeting of the board or agency. Before a stipulation is entered into with a license holder, state investigators and attorneys often consult with a case advisor who sits on the presiding board to obtain a sense for whether the proposed action is considered appropriate under the facts of the case, so the outcome of the meeting is usually not a surprise.
I tried to handle the complaint on my own but the state has filed a formal action against my license. Is it too late for you to help me?
The need for legal counsel once a formal action has been filed is greater than ever. An attorney can help prepare your case, advocate on your behalf at a contested hearing, and continue to attempt to negotiate a favorable settlement for you. Although no lawyer can guarantee a result, don’t feel like "it’s too late" for a lawyer to help. With that said, it is advisable to consult with an attorney earlier in the process, to increase the likelihood of a favorable result.
What happens if the state files a formal action against my license?
In most cases, the license holder will need to file an answer to the formal complaint, and then the case will be assigned to an administrative law judge for an evidentiary hearing, if needed. The findings of that hearing will then be turned over to the board which presides over the particular license holder for disciplinary action if appropriate. This legal process is similar in many ways to a trial, and license holders may be at a disadvantage if they proceed without counsel. The state will usually have an attorney to prosecute the case against the license holder.
Can my clients find out if I’ve been disciplined?
Although some members of the public may not know how or where to look, a license holder’s history of discipline is usually a matter of public record. Consequently, a license holder should give serious consideration as to whether to agree to a disciplinary action against his or her license.
I’m licensed in states other than Wisconsin. Is discipline in Wisconsin going to be a problem for me in other states? Is discipline in another state going to be a problem for me in Wisconsin?
Every state has its own professional licensing rules and standards. Many states, including Wisconsin, contain provisions governing "reciprocal discipline," meaning if you’ve been disciplined (or had other adverse action such as denial of an application) in one state, you can be disciplined on the same basis in another state. License holders are encouraged to consult with an attorney to determine what obligations they may have to disclose any disciplinary actions if they are licensed in more than one jurisdiction.