§ 43b.12a. Schedule of civil penalties—auctioneers, apprentice auctioneers, auction houses and auction companies.
STATE BOARD OF AUCTIONEER EXAMINERS
| Violations | |||
| Violation | Under Title 49 | Description | |
| Under 63 P. S. | Chapter 1 | of Violation | Penalties |
| Sections 734.3(a) and 734.20(a)(9) | N/A | Auctioneer or apprentice auctioneer operating on a lapsed license in this Commonwealth. | 1st offense—$500 2nd offense—$1,000 3rd offense—formal action |
| Sections 734.3(a) and 734.20(a)(9) | N/A | Engaging in unlicensed auctioneering activities in this Commonwealth. | 1st offense—$1, 000 2nd offense—formal action |
| Sections 734.9(a) and 734.20(a)(9) | N/A | Operating an unlicensed auction house in this Commonwealth. | 1st offense—$500 2nd offense—$1,000 3rd offense—formal action |
| Sections 734.10(a) and 734.20(a)(9) | N/A | Operating as an unlicensed auction company in this Commonwealth. | 1st offense—$500 2nd offense—$1,000 3rd offense—formal action |
| Sections 734.9(d) and 734.20(a)(9) | N/A | A licensed auctioneer operating an unregistered auction house in this Commonwealth. | 1st offense—$500 2nd offense—$1,000 3rd offense—formal action |
| Sections 734.10(d) and 734.20(a)(9) | N/A | A licensed auctioneer operating an unregistered auction company in this Commonwealth | 1st offense—$500 2nd offense—$1,000 3rd offense—formal action |
| Sections 734.9(a) and 734.20(a)(9) | N/A | Operating an auction house on a lapsed license in this Commonwealth | 1st offense—$500 2nd offense—$1,000 3rd offense—formal action |
| Sections 734.10(a) and 734.20(a)(9) | N/A | Operating an auction company on a lapsed license in this Commonwealth | 1st offense—$500 2nd offense—$1,000 3rd offense—formal action |
| Section 734.20(a)(12) | N/A | Failure of an auctioneer to establish or maintain an escrow account. | 1st offense—$500 2nd offense—$1,000 3rd offense—formal action |
| Sections 734.21 and 734.20(a)(9) | N/A | Failure of an auctioneer to immediately deposit gross auction sale proceeds into an escrow account. | 1st offense—$500 2nd offense—$1,000 3rd offense—formal action |
| Sections 734.17 (a) and 734.20(a)(9) | N/A | Failure of an auctioneer to enter into a written contract with the owner or consignor of the property to be sold at auction prior to the auction sale. | 1st offense—$500 2nd offense—$1,000 3rd offense—formal action |
| Sections 734.17(a) and 734.20(a)(9) | N/A | Failure of an auctioneer to keep contracts on file in the office of the auctioneer. | 1st offense—$500 2nd offense—$1,000 3rd offense—formal action |
| Sections 734.16(b) and 734.20(a)(9) | N/A | Failure or refusal of an auctioneer to permit inspection of auction sale records at all reasonable times by BEI inspectors or investigators. | 1st offense—$500 2nd offense—$1,000 3rd offense—formal action |
| Sections 734.18(a) and 734.20(a)(9) | N/A | Failure of an auctioneer to display auctioneer license in the auctioneer’s office. | 1st offense—$250 2nd offense—$500 3rd offense—formal action |
| Sections 734.18(b) and 734.20(a)(9) | N/A | Failure of an apprentice auctioneer to display the apprentice auctioneer license in the apprentice auctioneer’s office. | 1st offense—$250 2nd offense—$500 3rd offense—formal action |
| Section 734.20(a)(10) | § 1.31(c) and (d) | Failure of a sponsor to either directly supervise the apprentice while the apprentice is conducting an auction or to provide for appropriate substitute supervision of the apprentice by a qualified auctioneer. | 1st offense—$500 2nd offense—$1, 000 3rd offense—formal action |
| Sections 734.20(a)(10) | § 1.31(e) | Apprentice auctioneer conducting an auction sale without direct supervision by either the sponsor or an authorized substitute sponsor. | 1st offense—$500 2nd offense—$1,000 3rd offense—formal action |
The provisions of this § 43b.12a adopted March 2, 2001, effective March 3, 2001, 31 Pa.B. 1227.
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