Violations, Complaints, Enforcement, and Discipline
What counts as a violation
Violations include notarizing without a valid commission, falsifying certificates or journal entries, notarizing outside the signer's presence, exceeding fee limits, failing to keep required records, and engaging in prohibited conflicts or unauthorized practice of law. Both intentional misconduct and careless practice - such as leaving certificate blanks or failing to identify a signer - can trigger discipline.
The complaint process
Complaints are typically filed with the Secretary of State's office, which may investigate and refer serious matters for further action. A notary must cooperate with an investigation and may be required to produce the journal. Enforcement tools include warning letters, suspension, revocation of the commission, civil penalties, and referral for criminal prosecution where fraud is involved. A notary may also face civil liability to persons harmed by a improper notarization.
Discipline and consequences
Revocation ends the notary's authority; a revoked notary may not continue to perform acts or hold out as commissioned. Surrender of a commission during an investigation does not necessarily end the inquiry. Notaries should keep records that demonstrate compliance, because in a dispute the certificate and journal are the primary evidence of what happened.
Worked example
A notary notarizes a deed for an absent signer and backdates the certificate. That is both a presence violation and a falsification - grounds for revocation and possible criminal referral. The journal entry, if accurate, would contradict the backdated certificate and become key evidence.
Rule of thumb: The certificate and journal are your defense - and the complainant's evidence. Keep both accurate.