Board of Licensing of Auctioneers - Disciplinary Action
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2006
CYR, JAMES D.
License Number: AUC-720
License Type: Auctioneer
Complaint Number: 2005-AUC-195
Disposition: Consent Agreement dated 4/5/06
Summary: Licensee acknowledged that while his auctioneer license was under suspension, licensee's company continued to include licensee's name and license number on its web site announcement of upcoming auctions until board staff contacted the auctioneer of record. Two advertisements that ran for two months in an antiques periodical during the suspension period that promoted auctions conducted by licensee's company contained licensee's name and license number instead of the name and license number of the auctioneer of record. These advertisements ran on a regular basis without the direct involvement of auction company staff; however, licensee was aware of this process and did not take the steps to make the necessary changes in these ads. Licensee's company also promoted two auctions during the suspension period in which licensee was listed as the auctioneer with licensee's license number. Licensee agreed to a reprimand and a $1500 civil penalty. Licensee also agreed to a 90-day license suspension to run consecutively to the suspension previously imposed by the board. Upon timely filing of a renewal application, the renewal fee and a new surety bond to cover the renewal licensing cycle, the board agreed to issue licensee's license contemporaneous with the conclusion of the suspension imposed by this agreement.
KIMBALL, DAVID W.
License Number: AUC1434
License Type: Auctioneer
Complaint Number: 2005-AUC-196
Disposition: Consent Agreement dated 2/1/06
Summary: Licensee acknowledged that on July 1, 2005 he became the auctioneer of record for auctions conducted by the Cyr Auction Company. The web site for that company, which contains promotional information relating to the time and location of auctions, was not altered to include licensee's name and license number as the responsible auctioneer and continued to include the license number of a suspended licensee. This was corrected after licensee was contacted by board staff. Advertisements also ran in an antiques periodical for the months of September and October, 2005. These advertisements promoted auctions in that time period being run by Cyr Auction Company and did not contain licensee's name and license number. They instead contained the name and license number of a suspended licensee. Licensee indicated that this error occurred because these advertisements ran on a regular basis without the direct involvement of the auction company staff. That staff member had been contacted by licensee to change other advertising to reflect his name and license number and this had occurred. Licensee agreed to a warning.
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2005
CYR, JAMES D.
License Number: AUC720
License Type: Auctioneer
Complaint Number: AUC-192, AUC-193, AUC-194
Disposition: Decision and Order dated 6/13/05
Summary: Licensee failed to make payments to two consignors within the 30 days required by law, only remitting payment after the consignors filed complaints with the board. The board found licensee's testimony that checks were timely mailed to these consignors to be "incredible." In a third complaint, licensee failed to respond to the consignor's numerous telephone calls as to why the consigned goods sold for less than she expected. In all 3 complaints, licensee's use of an outdated consignment form led the consignors to believe that the buyer's premium was 10% rather than 15%.
In a Decision and Order dated July 31, 2003, the board had suspended licensee's license for 90 days, but suspended the suspension, and had also put licensee on probation for 1 year. One of the violations in this proceeding occurred during the period of probation. The violations in this proceeding were virtually identical to those which resulted in the July 31, 2003 Decision and Order.
The board in this proceeding suspended the license for 270 days beginning July 1, 2005, issued a $2500 civil penalty and ordered licensee to pay $910 hearing costs.
KHAN, AZAM M.
License Number: AUC1106
License Type: Auctioneer
Complaint Number: AUC-190
Disposition: Consent Agreement dated 9/12/05
Summary: Licensee denied, but did not contest, that sufficient facts existed for the board to find that licensee advertised an auction without including his name and license number, and that licensee failed to have a contract with the consignor that included his license number. The parties agreed that the omissions were unintentional. Licensee agreed to a warning and agreed to pay $400 investigative costs.
MORRISON, JOHN H.
License Number: AUC896
License Type: Auctioneer
Complaint Number: AUC-184
Disposition: Decision and Order dated 2/16/05
Summary: Licensee did not account for one item that had been consigned to him by complainant, and failed to pay for or return three other items that had been received by complainant and "passed" at auction. Licensee made no effort to resolve the dispute with complainant, avoided complainant's phone calls and mail, and failed to make sufficient inquiry of his employees as to what may have happened to the items in question. Licensee failed to notify the board of his various changes of address, and when his mail was forwarded to his mother's house, he did not make arrangements for it to be claimed while he was out of town. The board suspended the license for 90 days, fined licensee $1400, issued licensee a reprimand, and ordered licensee to pay $127.50 hearing costs.
MORRISON, JOHN H.
License Number: AUC896
License Type: Auctioneer
Complaint Number: AUC-187
Disposition: Decision and Order dated 2/28/05
Summary: Licensee received four carpets consigned by complainant for auction on March 17, 2004. Carpets were sold on April 29, 2004. Licensee called complainant on June 16 and said that payment would be forthcoming. The check did not arrive, and complainant was unsuccessful in his efforts to communicate with licensee via phone, fax and mail. Licensee did not make payment until approximately February 14, 2005. The board noted that licensee was the subject of a prior complaint, #AUC-184, similar to this complaint, that was heard on December 8, 2004 and resulted in a hearing and order dated February 16, 2005. The board suspended the license for 180 days, fined licensee $2000, issued licensee a reprimand, ordered licensee to pay $690 hearing costs, and ordered that the license be flagged for nonrenewal and that licensee be required to appear before the board at a hearing to determine whether he meets the qualifications for relicensure.
[NOTE: Appeal dismissed 8/31/06 for failure to prosecute.]
PISCOPO, JOY A.
License Number: AUC482
License Type: Auctioneer
Complaint Number: AUC-191
Disposition: Consent Agreement dated 10/25/05
Summary: Licensee acknowledged that in selling some books that were consigned for the auction by the consigner, licensee included other items in the lot that were being auctioned without the consent of the consigner. Licensee then made an allocation of value between those items in the lot owned by the consigner and the other items. In accounting for the sales proceeds owed to the consigner after the auction, licensee paid approximately $1425 less than the consigner was entitled to. At the time of this auction and the settlement of the proceeds, licensee was in the midst of a move that impacted her ability to accurately account for and reconcile the amounts owed to the consigner. The deficiency in payment to the consigner came to light because of the consigner's contacts with one of the purchasers at the auction. After the complaint was filed, licensee provided a correct reconciliation of the amounts owed to licensee and made payment for that, as well as paying licensee the full consigner portion of the overall sales price of the combined lot of books.
Licensee agreed to a warning. Licensee also agreed to pay $400 investigative costs.
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2004
BOTTERO-HOLMES, JOHN D.
(aka John DB Holmes)
License Number: AUC1237
License Type: Auctioneer
Complaint Number: AUC-172
Disposition: Consent Agreement dated 2/4/04
Summary: Licensee admitted that he failed within a reasonable time to account for or remit any money or property coming into his possession Licensee agreed to provide monetary reimbursement to the complainant in the amount of $650. Licensee agreed to return a poster to the complainant, which he had already done prior to the date of the consent agreement. Licensee also agreed to a 6 month probation and a $400 civil penalty.
HAWES, DARRYL A.
License Number: AUC1180
License Type: Auctioneer
Complaint Number: AUC-175, 177, 178, 179, 180, 181 and 183
Disposition: Decision and Order dated 6/2/04
Summary: With respect to four complaints, licensee did not inform consignors that he was experiencing financial difficulties when he accepted their goods for auction, failed to account for the goods and remit payment within 30 days or other period specified in the contracts with consignors, repeatedly failed to return consignors' telephone calls concerning payment status, failed to enter into a written contract with one of these consignors, and failed to keep various promises made to some of these consignors. Licensee ultimately paid these consignors, although only a partial accounting, if any, was provided.
With respect to a fifth complaint, licensee did not inform the consignor that he was experiencing financial difficulties when he accepted her goods for auction, repeatedly issued worthless checks as installment payments of the amount due consignor, and failed to account for the goods or remit payment within the 15 business day period specified in the consignment contract. The commission rate in the consignment contract was changed from 10% to 20% without the consignor's consent. Gross sale proceeds were $16,175. Licensee never provided the consignor with an accounting, and owes her a balance of at least $2740.
With respect to a sixth complaint, licensee did not inform the consignor that he was experiencing financial difficulties when he accepted her goods for auction. The proceeds from the auction were in excess of $1000. Licensee never provided the consignor with an accounting or any payment from the auction proceeds.
Licensee in 1998 had entered into a consent agreement in which he had agreed to a reprimand and probation as a result of complaints from two persons to whom licensee owed $19,917.
The board revoked the license, imposed a civil penalty of $6000 ($1000 for each of the complaints described above), and ordered licensee to pay $2100 hearing costs.
STREET, AUDREY L.
License Number: AUC1390
License Type: Auctioneer
Complaint Number: AUC-168
Disposition: Decision and Order dated 2/23/04
Summary: Licensee arranged with complainant, an out-of-state auctioneer, to sell goods owned by complainant at her auction house. There was no written contract. Complainant called the auction. Licensee advertised the auction, and licensee, licensee's family and licensee's employee staffed the auction. Licensee held the sales proceeds from which she deducted state sales tax and paid complainant the agreed-upon share. Although licensee testified that she mailed an accounting to complainant, the board found that if it was mailed, it was not mailed within a reasonable time following the auction and had not been received as of the date complainant testified before the board.
The board rejected licensee's contention that complainant, not she, was the auctioneer.
"The Board…voted 3-0 that Audrey Street violated the provisions of 32 M.R.S.A. Sec. 291(1)(B) by failing, within a reasonable time, to account for or remit any money or property coming into his possession that belongs to others. 'Reasonable time' is defined by 32 M.R.S.A. Sec. 284(9) as 'not more than 30 days from the date of the auction or such other time as stated in a contract.' Ms. Street argued that she did not violate this provision since she reads the relevant statutory language to require an accounting or remitting within 30 days of the auction. She reasoned that since she remitted the auction proceeds to [complainant] the day after the auction, she was well within the 30 days since she satisfied one of the two statutory requirements.
"The Board, whose interpretation of its own statute is entitled to great deference, concluded that the word 'or' was conjunctive and should be read as 'and' rather than in the disjunctive. This result was primarily based on two factors. First, 1 M.R.S.A. Sec. 71.2 states that '[T]he words 'and' and 'or' are convertible as the sense of a statute may require.' Second, the 'sense' of the auctioneering statute requires the conjunctive use of those words in the present situation since the disjunctive would lead to an absurd result: to wit, it would be permissible for an auctioneer to account for the auction proceeds in a timely manner buy not pay them to the consignor of the goods. The Board was of the opinion that prompt accounting and remitting of proceeds are vital to the auctioneering profession.
"The Board further voted 3-0 that Audrey Street violated the provisions of 32 M.R.S.A. Sec. 298 in her role as auctioneer by conducting an auction in Maine without first having a written contract with the consignor of any property to be sold."
The board issued licensee a warning, imposed a $300 civil penalty, and ordered licensee to pay $959.29 costs of hearing.
NOTE: The Maine Supreme Court affirmed the board's decision in its entirety on 1/19/06.
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2003
CYR, JAMES D.
License Number: AU720
License Type: Auctioneer
Complaint Number: AUC-167
Disposition: Decision and Order dated 6/23/03
Summary: Licensee failed within a reasonable time to pay a consignor for a pair of drapes and a painting that had come into licensee's possession. Licensee did not return approximately three telephone calls from the consignor, did not respond to two letters from consignor's lawyer, and only made payment after licensee filed a complaint with the board, which payment was made 11 months after the statement of items sold. The board suspended the license for 90 days, which suspension was itself suspended. The board imposed a $1000 civil penalty and ordered licensee to pay $552.20 hearing costs.
FARRIN, RUSSELL A.
(Farrin's Country Auctions, Madison)
License Number: AUC356
License Type: Auctioneer
Complaint Number: AUC-165
Disposition: Consent Agreement dated 5/2/03
Summary: Licensee admitted to unprofessional conduct arising out of the failure to account for all consigned items to the complainant consignor following completion of the auction for which the items were consigned. Licensee agreed to a $250 civil penalty. Licensee also agreed to revise his contract with consignors to comply with the governing statute and to "send the settlement check and blacksmith chaps to the complainant."
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2002
MOSHER, William E.
License Number: AR384
License Type: Auctioneer
Case Number: AUC-156
Disposition: Board Order dated 4/24/02
Summary: The board found that licensee failed to disclose criminal convictions when he filed his license applications in 1992, 1999, 2000 and 2001, that licensee is unable to recognize the importance of such disclosures, and that licensee has not been sufficiently rehabilitated from criminal convictions to warrant the public trust. The board denied licensee's license application, issued licensee three reprimands, issued licensee three $700 civil penalties, for a total of $2100, and ordered licensee to pay $386 for costs incurred by the board.
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2001
JULIA, James D.
License Number: AR83
License Type: Auctioneer
Case Number: AUC-146
Disposition: Consent Agreement dated 4/20/01
Summary: Licensee admitted to failing to post a notice at the beginning of the auction that the Uniform Commercial Code applied to the auction and permitting an associate to sign the auction contract on his behalf. Licensee was issued a warning.
VIGUE, Allie W.
License Number: AR1311
License Type: Auctioneer
Case Number: AUC-150
Disposition: Consent Agreement dated 2/20/01
Summary: Licensee had disclosed only one criminal conviction on his license application. Licensee admitted that he failed to disclose other criminal convictions on the application. Licensee was put on probation for one year.
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2000
DOUCETTE, Richard E.
License Number: AR1025
License Type: Auctioneer
Case Number: AUC-134
Disposition: Consent Agreement dated 2/02/00
Summary: Licensee committed a Class C crime, aggravated trafficking in Schedule Z drugs, an offense for which the board may take action against licensee's auctioneer license. Licensee's auctioneer license was placed on probationary status until licensee is released from the supervision of the Maine Department of Corrections.
TALBOT, James
License Number:
License Type: Auctioneer
Case Number: AUC-147
Disposition: Consent Agreement dated 8/14/00
Summary: Licensee admitted unprofessional conduct concerning acceptance of a winning bid by telephone from complainant where auctioneer's employee was unaware that a higher absentee paper bid had been received on the same item, and auctioneer ultimately sold the item to the absentee paper bidder (but for the same amount bid by complainant). Licensee also admitted that he failed to send complainant the shipping receipt for other items purchased by complainant so that complainant could file a claim against the carrier for one item in the box that arrived broken. Licensee was issued a warning.
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Last Updated:
August 8, 2008
