Florida Broker Practice Exam

Which is NOT one of the steps in the investigation process for alleged violations?

1. A complaint is filed

2. Investigation of the complaint

3. Settlement negotiation

4. Judicial review of final order

The correct answer is: Settlement negotiation

The investigation process for alleged violations generally involves several key steps focused on reviewing and addressing complaints. This process typically begins with the filing of a complaint, which formally starts the investigation. Following the complaint, an investigation is conducted to gather facts and evidence related to the allegations. Reaching a settlement negotiation usually occurs after the investigation has taken place and if a violation is found, leading to an agreement between the involved parties to resolve the issue without further proceedings. However, judicial review of a final order is a separate process that may happen after all other steps have been completed, particularly if any party disputes the order issued by the administrative body or regulatory authority. Therefore, settlement negotiation is not an intrinsic part of the initial investigation process itself, but rather a subsequent step that may or may not happen based on the outcome of the investigation.