6.3 Grounds for Discipline
Key Takeaways
- The Secretary of State may deny, suspend, revoke, or condition a notary commission
- Grounds include fraud, deceit, dishonesty, and lack of competence or integrity
- Criminal convictions involving fraud or dishonesty are grounds for discipline
- Failure to perform duties properly can result in action against your commission
- Notaries have a right to a hearing before adverse action is finalized
Last updated: January 2026
The Secretary of State has authority to take action against notary commissions when notaries fail to meet their obligations or engage in misconduct.
Possible Disciplinary Actions
| Action | Description |
|---|---|
| Denial | Refuse to issue commission to applicant |
| Non-Renewal | Refuse to renew existing commission |
| Suspension | Temporarily bar from performing notarial acts |
| Revocation | Permanently terminate commission |
| Condition | Impose requirements or limitations |
General Grounds for Discipline
The Secretary of State may take action for any act or omission demonstrating that an individual lacks the:
- Competence to act as a notary public
- Reliability to act as a notary public
- Integrity to act as a notary public
Specific Grounds for Discipline
Performance-Related Violations
| Ground | Example |
|---|---|
| Conflict of interest | Notarizing when you benefit from transaction |
| Prohibited family notarization | Notarizing for spouse when they benefit |
| Failure to properly identify | Not verifying signer's identity |
| Improper notarization | Certificate errors, procedural failures |
| Failure to require appearance | Notarizing for absent signer |
Character-Related Violations
| Ground | Example |
|---|---|
| Fraud | Falsifying notarial certificates |
| Deceit | Misleading signers about notary role |
| Dishonesty | Making false statements on application |
| Breach of duty | Failing to perform duties properly |
Criminal Convictions
| Conviction Type | Consequence |
|---|---|
| Felony (any) | Grounds for denial/revocation |
| Crime involving fraud | Grounds for denial/revocation |
| Crime involving dishonesty | Grounds for denial/revocation |
| Crime involving deceit | Grounds for denial/revocation |
Advertising Violations
| Ground | Example |
|---|---|
| False advertising | Claiming powers you don't have |
| Misleading advertising | Implying you're an attorney |
| Unfair/deceptive practices | "Notario" advertising |
| Material omissions | Failing to disclose required info |
Due Process Rights
Notaries have rights when facing disciplinary action:
| Right | Description |
|---|---|
| Written notice | Must be notified in writing of action taken |
| Reason stated | Must be told the grounds for action |
| Right to hearing | Entitled to hearing under Maine Administrative Procedure Act |
| Appeal | May appeal adverse decisions |
Hearing Process
- Notice - Secretary of State notifies notary of proposed action
- Grounds - Specific grounds for action are stated
- Request - Notary may request a hearing
- Hearing - Conducted under Administrative Procedure Act
- Decision - Final decision issued after hearing
Waiting Periods After Discipline
| Prior Action | Waiting Period |
|---|---|
| Commission revoked for misconduct | 5 years before reapplying |
| Conviction of relevant crime | 10 years after release/probation |
| Incarceration | Ineligible while incarcerated |
Protecting Your Commission
Best Practices
| Practice | Benefit |
|---|---|
| Follow all procedures | Avoid inadvertent violations |
| Maintain records | Evidence of proper conduct |
| Stay current on law | Know requirements and changes |
| When in doubt, decline | Better to refuse than err |
| Seek guidance | Contact SOS with questions |
Warning Signs of Trouble
Watch for these red flags and proceed carefully:
| Warning Sign | Action |
|---|---|
| Signer refuses proper ID | Decline notarization |
| Signer appears coerced | Decline, contact authorities if needed |
| Document appears altered | Decline notarization |
| Signer doesn't understand document | Suggest attorney |
| Request to backdate | Always refuse |
On the Exam
Key points:
- Grounds: Lack of competence, reliability, or integrity
- Actions: Denial, non-renewal, suspension, revocation, conditioning
- Criminal convictions: Fraud, dishonesty trigger discipline
- Due process: Right to notice and hearing
- Waiting period: 5 years after revocation, 10 years after conviction
Test Your Knowledge
If the Secretary of State proposes to revoke your notary commission, what right do you have?
A
B
C
D
Test Your Knowledge
After having a notary commission revoked for official misconduct, how long must you wait before reapplying in Maine?
A
B
C
D
Test Your Knowledge
Which of the following could be grounds for disciplining a Maine notary?
A
B
C
D