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Trends in IDFPR Discipline

When we talk with clients about an Illinois Department of Financial and Professional Regulation (IDFPR) investigation, one of the first questions is, “What are the possible results of an investigation?”

On this page, you can search through the 2017-2021 cases resolved by IDFPR. To view previous years, visit IDFPR’s website.

Just like in any case or investigation, the facts will dictate both the grounds for reprimand and the severity of any reprimand. 

What should you do if IDFPR calls you? Talk to an Administrative Law Attorney

Talking to an administrative law and professional licensing attorney should be your first step. You will quickly see the benefits of having an experienced lawyer on your side who knows what to expect from IDFPR during the process.

Your Lawyer Is Your Sole Confidant

As soon as an investigation begins, you should limit your discussions about it to your lawyer. Resist the urge to vent about the problem to anyone, including family and friends, and do not discuss the matter with your customers or acquaintances.

Take a Proactive Approach

No matter how baseless a complaint may be, it is possible that there is a problem, and you are too close to the situation to see it. Simply ignoring that there may be a problem – at least according to one of your customers – is going to do far more harm than good. The problem has already been reported, so you need to respond in a constructive manner.

Make the First Response Count

Like a first impression, your first response to a complaint is incredibly important. Having a well-crafted response to a complaint starts the investigation on the right foot. In the best case, a thorough and well-written response may get the complaint completely dismissed.

If You Need Help Getting Started

If you are being investigated, contact us to help you get started in responding to your investigation.

The information in this blog post is provided for informational purposes only and is not intended to be legal advice. You should not make a decision whether or not to contact an attorney based upon the information in this blog post. No attorney-client relationship is formed nor should any such relationship be implied. If you require legal advice, please consult with an attorney licensed to practice in your jurisdiction.

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