There are dozens of occupations and professions in Arizona that require licenses. While many of these are health-related—such as doctors, dentists, nurses, pharmacists, psychologists, and respiratory therapists—Arizona law requires accountants, lawyers, real estate agents, cosmeticians, barbers, funeral directors, security guards, and many more to be licensed.
And no matter which of these careers you have, if you are licensed in Arizona, you know one thing: Losing your license can be devastating.
But if you receive a notice that you’re under investigation, know that all is not automatically lost. You can successfully defend your license.
In fact, in FY 2019, the Arizona Medical Board received more than 1,000 complaints, but only 92 of them resulted in disciplinary action. The rest of the cases were closed with non-disciplinary actions or dismissals. However, the process to get there could be complicated and painful. It took, on average, about six months for a complaint to reach its resolution.
That’s why understanding the process—and why having an attorney represent you throughout it—is so essential.
Common Allegations against Professionals
Licensed professionals can be investigated both for complaints that apply across industries and wrongdoing that specifically relates to their work.
Across industries, common complaints against professionals include:
- Failure to meet the accepted standard of care/relevant professional standards
- Sexual misconduct
- Mental health issues
- Dishonesty when applying for licensure or failing to notify the board of significant issues
- Conviction of any felony or any misdemeanor that involves moral turpitude (e.g., fraud, falsification of records, sexual assault, theft)
Allegations against medical professionals that frequently trigger an investigation include prescribing drugs in excess or without legitimate medical need, delegating medical duties to unlicensed practitioners, and settling medical malpractice lawsuits.
Accountants can be investigated for failing to adhere to technical standards, confidentiality requirements, their duties as fiduciaries, or violations of accountancy rules. They can be investigated for allegedly violating policies relating to advertising and solicitation.
And insurance agents and brokers can lose their licenses for misdeeds such as intentionally misrepresenting terms of a proposed insurance contract, withholding any monies received while conducting insurance business, forging insurance documents, and using fraudulent or dishonest business practices.
Consequences of Allegations/Investigation
The consequences of wrongdoing will depend upon both the profession and the facts of the case.
Physicians. If the Arizona Medical Board decides to discipline a doctor, it has several ways to do so, including:
- Restrict the doctor’s ability to practice
- Require the doctor to complete a rehabilitative, retraining, or assessment program that ensures that the doctor can safely practice medicine
- File a letter of reprimand or an advisory letter
- Issue a decree of censure (which can include both an official reprimand and an order of restitution for patients’ fees)
- Put the doctor on probation for up to 12 months, which includes conditions for practice, and restitution of patient fees and related board expenses
- Civil penalties of $1,000-$10,000 per violation
- Suspend or revoke the doctor’s license to practice medicine
Nursing. If the Arizona State Board of Nursing concludes that an Arizona nurse should be disciplined, the nursing board may issue a decree of censure. Alternatively, the board can issue a stayed disciplinary action or probation. Both of those place conditions on a nurse’s practice, but they allow the nurse to continue working.
For more serious violations, the board can suspend a nurse’s license for a defined or indefinite period or revoke the license outright. (Nurses with a revoked license can apply for reinstatement after five years.) They can also be issued a fine of up to $1,000 for each violation of the Nurse Practice Act.
Insurance Agents/Brokers: If the director of the Arizona Department of Insurance and Financial Institutions concludes that discipline is warranted, the director may discipline the agent/broker by:
- Suspending, revoking, or failing to renew their license
- Issuing a civil penalty of $250 for each unintentional violation (totaling up to $2,500)
- Issuing a civil penalty of $2,500 for each intentional violation (totaling up to $15,000)
- Ordering them to pay restitution to “any party injured” by their action
Understanding the Investigation/Review Process
While it is important to understand the sanctions you may face if the licensing agency decides discipline is warranted, it is equally critical to understand the process—to realize that discipline is not inevitable.
As we discussed, licensing boards receive many complaints each year. The first thing each licensing entity must decide is if a complaint merits any response, and many do get dismissed at that initial stage.
Of those that survive, the board must investigate.
Typically, the board will provide the licensee with a copy of the complaint. In this notice, the board may include questions or requests for documents, and should also provide instructions on how to respond.
An investigator will then review documents, interview witnesses, collect other evidence, and prepare a report for the board’s review.
Even if the agency confirms the complaint’s legitimacy, that still doesn’t necessarily mean you will be disciplined. Licensing entities have a range of actions they can take—including a decision to give you time to take corrective measures and prove you should be given another chance to work in your field.
Given the entities’ vast flexibility in their decision-making ability, having an attorney represent you in this process can be enormously beneficial.
An attorney can review any evidence or statements you must provide to ascertain any potential civil or criminal liability. And—crucially—they can help you negotiate with the board to come up with an appropriate settlement.
This is useful for anyone who is facing legal liability.
Further, representation is particularly significant for those at risk of losing their license because of an alcohol or substance abuse problem. Depending on your field, the board may have a diversionary program that will protect your license while ensuring you get the help you need.
If you are concerned about defending an Arizona professional license, contact our office (by phone at: 602-548-3400) for a confidential consultation with one of our attorneys. Don’t wait. Call today.
Colin Bell is a DUI and Criminal Defense attorney in Phoenix, Arizona. He is Of-Counsel with Stewart Law Group with offices throughout Arizona. The firm has helped many clients navigate the legal complexities of DUI and criminal defense.
