Formal Hearings
If the respondent contests a violation, or if the regulators deny a settlement offer or waiver, the dispute will devolve to a formal hearing proceeding. The chief Hearing Officer shall appoint a Hearing Panel to conduct the disciplinary proceeding and issue a decision.
Within 21 days after a respondent has answered a complaint, the Hearing Officer may order a prehearing conference with the disputing parties to discuss:
- • Simplification and clarification of the issues
- • Exchange of witness and exhibit lists
- • Stipulations concerning the contents or authenticity of documents