Before You File An Ethics Complaint
QuickLinks
Filing a Complaint
The Complaint Form - html
The Complaint Form
- online fillable PDF
The Code of Ethics
Background
Boards and associations of REALTORS® are responsible for enforcing the
REALTORS® Code of Ethics. The Code of Ethics imposes duties above and in
addition to those imposed by law or regulation which apply only to real
estate professionals who choose to become REALTORS®.
Many difficulties between real estate professionals (whether REALTORS® or
not) result from misunderstanding, miscommunication, or lack of adequate
communication. If you have a problem with a real estate professional, you
may want to speak with them or with a principal broker in the firm. Open,
constructive discussion often resolves questions or differences, eliminating
the need for further action.
If, after discussing matters with your real estate professional or a
principal broker in that firm, you are still not satisfied, you may want to
contact the local board or association of REALTORS®. Many boards and
associations have informal dispute resolving processes available to
consumers (e.g. ombudsmen, mediation, etc.).
If, after taking these steps, you still feel you have a grievance, you many
want to consider filing an ethics complaint. You will want to keep in mind
that . . .
► Only REALTORS® are subject to the Code of Ethics
of the National Association of REALTORS®.
► If the real estate professional (or their broker) you are dealing with is
not a REALTOR®, your only recourse may be the state real state licensing
authority or the courts.
► Boards and associations of REALTORS® determine whether the Code of Ethics
has been violated, not whether the law or real estate regulations have been
broken. Those decisions can only be made by the licensing authorities or the
courts.
► Boards of REALTORS® can discipline REALTORS® for violating the Code of
Ethics. Typical forms of discipline include attendance at courses and
seminars designed to increase REALTORS®' understanding of the ethical duties
or other responsibilities of real estate professionals. REALTORS® may also
be reprimanded, fined, or their membership can be suspended or terminated
for serious or repeated violations. Boards and associations of REALTORS®
cannot require REALTORS® to pay money to parties filing ethics complaints;
cannot award "punitive damages" for violations of the Code of Ethics; and
cannot suspend or revoke a real estate professional's license.
► The primary emphasis of discipline for ethical lapses is educational, to
create a heightened awareness of and appreciation for the duties the Code
imposes. At the same time, more severe forms of discipline, including fines
and suspension and termination of membership may be imposed for serious or
repeated violations.
Filing an ethics complaint
The local board or association of REALTORS® can provide you with information
on the procedures for filing an ethics complaint. Here are some general
principles to keep in mind.
► Ethics complaints must be filed with the local board or association of
REALTORS® within one hundred eighty (180) days from the time a complainant
knew (or reasonably should have known) that potentially unethical conduct
took place.
►The REALTORS® Code of Ethics consists of seventeen (17) Articles. The
duties imposed by many of the Articles are explained and illustrated through
accompanying Standards of Practice or case interpretations.
► Your complaint should include a narrative description of the circumstances
that lead you to believe the Code of Ethics may have been violated.
► Your complaint must cite one or more of the Articles of the Code of Ethics
which may have been violated. Hearing panels decide whether the Articles
expressly cited in complaints were violated - not whether Standards of
Practice or case interpretations were violated.
► The local board or association of REALTORS®' Grievance Committee may
provide technical assistance in preparing a complaint in proper form and
with proper content.
Before the hearing
► Your complaint will be reviewed by the local board or association's
Grievance Committee. Their job is to review complaints to determine if the
allegations made, if taken as true, might support a violation of the
Article(s) cited in the complaint.
► If the Grievance Committee dismisses your complaint, it does not mean they
don't believe you. Rather, it means that they do not feel that your
allegations would support a hearing panel's conclusion that the Article(s)
cited in your complaint had been violated. You may want to review your
complaint to see if you cited an Article appropriate to your allegations.
► If the Grievance Committee forwards your complaint for hearing, that does
not mean they have decided the Code of Ethics has been violated. Rather, it
means they feel that if what you allege in your complaint is found to have
occurred by the hearing panel, that panel may have reason to find that a
violation of the Code of Ethics occurred.
► If your complaint is dismissed as not requiring a hearing, you can appeal
that dismissal to the board of directors of the local board or association
of REALTORS®.
Preparing for the hearing
Familiarize yourself with the hearing procedures that will be followed. In
particular you will want to know about challenging potential panel members,
your right to counsel, calling witnesses, and the burdens and standards of
proof that apply.
► Complainants have the ultimate responsibility ("burden") of proving that
the Code of Ethics has been violated. The standard of proof that must be met
is "clear, strong and convincing," defined as, ". . . that measure or degree
of proof which will produce a firm belief or conviction as to the
allegations sought to be established." Consistent with American
jurisprudence, respondents are considered innocent unless proven to have
violated the Code of Ethics.
► Be sure that your witnesses and counsel will be available on the day of
the hearing. Continuances are a privilege - not a right.
► Be sure you have all the documents and other evidence you need to present
your case.
► Organize your presentation in advance. Know what you are going to say and
be prepared to demonstrate what happened and how you believe the Code of
Ethics was violated.
At the hearing
► Appreciate that panel members are unpaid volunteers giving their time as
an act of public service. Their objective is to be fair, unbiased, and
impartial; to determine, based on the evidence and testimony presented to
them, what actually occurred; and then to determine whether the facts as
they find them support a finding that the Article(s) charged have been
violated.
► Hearing panels cannot conclude that an Article of the Code has been
violated unless that Article(s) is specifically cited in the complaint.
► Keep your presentation concise, factual, and to the point. Your task is to
demonstrate what happened (or what should have happened but didn't), and how
the facts support a violation of the Article(s) charged in the complaint.
► Hearing panels base their decisions on the evidence and testimony
presented during the hearing. If you have information relevant to the
issue(s) under consideration, be sure to bring it up during your
presentation.
► Recognize that different people can witness the same event and have
differing recollections about what they saw. The fact that a respondent or
their witness recalls things differently doesn't mean they aren't telling
the truth as they recall events. It is up to the hearing panel, in the
findings of fact that will be part of their decision, to determine what
actually happened.
► The hearing panel will pay careful attention to what you say and how you
say it. An implausible account doesn't become more believable through
repetition or, through volume.
► You are involved in an adversarial process that is, to some degree,
unavoidably confrontational. Many violations of the Code of Ethics result
from misunderstanding or lack of awareness of ethical duties by otherwise
well-meaning, responsible real estate professionals. An ethics complaint has
potential to be viewed as an attack on a respondent's integrity and
professionalism. For the enforcement process to function properly, it is
imperative for all parties, witnesses, and panel members to maintain
appropriate decorum.
After the hearing
► When you receive the hearing panel's decision, review it carefully.
► Findings of fact are the conclusions of impartial panel members based on
their reasoned assessment of all of the evidence and testimony presented
during the hearing. Findings of fact are not appealable.
► If you believe the hearing process was seriously flawed to the extent you
were denied a full and fair hearing, there are appellate procedures that can
be involved. The fact that a hearing panel found no violation is not
appealable.
► Refer to the procedures used by the local board or association of
REALTORS® for detailed information on the bases and time limits for
appealing decisions or requesting a rehearing. Rehearings are generally
granted only when newly discovered evidence comes to light (a) which could
not reasonably have been discovered and produced at the original hearing and
(b) which might have had a bearing on the hearing panel's decision. Appeals
brought by ethics respondents must be based on (a) a perceived
misapplication or misinterpretation of one or more Articles of the Code of
Ethics, (b) a procedural deficiency or failure of due process, or (c) the
nature or gravity of the discipline proposed by the hearing panel. Appeals
brought by ethics complainants are limited to procedural deficiencies or
failures of due process that may have prevented a full and fair hearing.
Conclusion
Many ethics complaints result from misunderstanding or a failure in
communication. Before filing an ethics complaint, make reasonable efforts to
communicate with your real estate professional or a principal broker in the
firm. If these efforts are not fruitful, you can
file an ethics complaint.
