Section 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.