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Insurance Agent and Broker Disciplinary Proceedings

As an insurance agent or broker, you are faced with customer complaints on a regular basis. Especially during times of constant change within the insurance industry, customers and policyholders may focus all their frustrations on you. While most customer complaints are eventually resolved, sometimes complaints may end up leading to a disciplinary proceeding.  Even if you think the complaint was filed by a disgruntled customer, without any basis for action, or involves a simple misunderstanding, you need to take the proceedings seriously.

Before you decide to handle an investigation alone, consider what you may be risking. These disciplinary proceedings may not be as straightforward as they seem. You could easily find yourself defending your professional licensure, livelihood, career and reputation. If you take the appropriate actions early on, you will have the best chance for success. Reaching out to an experienced professional license defense attorney as soon as you learn of an investigation will put you in the best position to defend your rights.

No-Obligation Case Assessment

For more than ten years, I have represented insurance agents and brokers before disciplinary and licensing hearings. I understand the proceedings, what's at risk, and what facts can help or harm your case. Each case is very fact specific, which is why I offer a no-obligation case consultation so that we can discuss all your options. You will be in a better position after you have a clear understanding of how the process works, your chances for success, and have all your questions or concerns addressed.

What to Expect

In Washington State, disciplinary proceedings involving insurance agents and brokers are governed by the Office of the Insurance Commissioner.  After a complaint is filed, your case will be reviewed in order to determine whether there may be a possible violation. If there is no cause for action in your case, the matter may be closed. However, if there is evidence of wrongdoing, a disciplinary hearing may go forward.

The possible penalties for a disciplinary or ethical violation could include fines, training, probation, suspension or revocation of your license. As soon as you become aware of an investigation, you should consider speaking with legal counsel who specializes in representing insurance agents and brokers before ethical or disciplinary proceedings.

This information is provided to offer a brief overview of what could happen in your case.  However, because each case is unique depending on the individual facts, my no-obligation consultation will give you a clear understanding of what lies ahead for you specifically.

For more information on the Washington State Office of the Insurance Commissioner complaint and process:

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