6.3 Disciplinary Actions and Consequences

Who Holds the Power: The Secretary of State

The Texas Secretary of State (SOS) — not the Governor, Attorney General, or a county clerk — issues, renews, and disciplines notary commissions under Government Code Chapter 406. The SOS may revoke, suspend, or refuse to renew a commission upon a finding of 'good cause.' Courts and the Attorney General handle the separate criminal and civil tracks, but commission discipline is purely an SOS function. This 'who disciplines?' question appears on nearly every exam.

What Counts as 'Good Cause'

Traditional and SB 693-expanded grounds combine into the list the exam tests:

Note how SB 693 turned record-keeping lapses into independent grounds for revocation. Before, sloppy records were merely poor practice; now an empty or destroyed record book can cost you your commission even with no other violation.

The Complaint and Due-Process Procedure

Any member of the public can file a complaint with the SOS — there is no standing requirement. The process protects both the public and the accused notary:

1. A complaint is filed with the SOS.
2. The SOS opens an investigation and notifies the notary in writing of the charges.
3. Evidence is gathered from both sides.
4. The notary may request a hearing to be heard, present evidence, and be represented by an attorney.
5. The SOS issues a final determination.
6. The notary may appeal an adverse decision.

The key exam point: revocation is not immediate or automatic. A notary has due-process rights — written notice and a hearing — before the commission is taken.

Three Penalty Tracks Run in Parallel

A crucial trap: these tracks are independent. Being found not guilty in a criminal case does not stop the SOS from revoking your commission, because the administrative standard ('good cause') is lower than 'beyond a reasonable doubt.'

Consequences of Revocation

Once a commission is revoked or expires, the former notary must surrender or destroy the official seal, may not perform any notarial act, and must provide records when lawfully requested (records survive the commission for the 10-year retention period). Revocation is a public record that can affect employment, and the person generally cannot perform notarial acts again until properly re-commissioned.

Worked Scenario

A notary is reported for notarizing signatures without appearance and for keeping no record book. The SOS sends written notice, the notary requests a hearing, and after presenting his side the SOS finds good cause and revokes. Separately, a prosecutor charges him with a Class A misdemeanor under SB 693, and an injured party sues for damages. All three proceedings can move forward at once — even if a jury acquits on the criminal charge, the revocation stands.

Suspension vs. Revocation vs. Refusal to Renew

The SOS has graduated options, and the exam may ask you to distinguish them:

Revocation is the most severe administrative penalty; it ends the authority to notarize the moment it takes effect, and the former notary must immediately stop performing acts and surrender the seal.

Why Records Are the Center of Modern Discipline

Since SB 693 made the record book mandatory and tied 10-year retention to 'good cause,' the record book is now both your shield and your potential downfall. A complete book proves you took reasonable care and met your statutory duty; a missing or prematurely destroyed book is itself a violation that can cost you your commission even when the underlying notarization was fine. Treat the book as the most important object in your kit.

A Realistic Complaint Timeline

Consider how a complaint typically unfolds. A homeowner discovers a deed bearing a notarization she never witnessed. She files a complaint with the SOS — she needs no special standing. The SOS investigator requests the notary's record book; there is no entry for that date. The SOS sends written notice of the alleged violations. The notary requests a hearing, where she may present evidence and bring counsel, but the absent record-book entry plus the homeowner's sworn statement establish good cause. The commission is revoked, and the matter is referred for possible criminal prosecution under SB 693.

Reinstatement and Reapplication

A suspension may be lifted once the underlying problem is cured. A revocation is far harder to recover from: the person generally cannot perform notarial acts until properly re-commissioned, and a revocation on the public record can cause the SOS to scrutinize or refuse a future application for good cause. There is no automatic right to immediate re-commissioning after revocation.

Prevention Beats Defense

The cheapest disciplinary defense is never needing one. Maintain the record book for every act, retain it the full ten years, require personal appearance, complete every certificate, never give legal advice or use the 'notario' title, and promptly report name or address changes to the SOS. Each of these directly maps to a 'good cause' ground, so doing them removes the basis for discipline.

On the Exam

Lock in: the SOS disciplines (not the Governor, AG, or county clerk); good cause now includes record-keeping failures; any person can complain; the notary gets written notice and a hearing before revocation; the three penalty tracks (criminal, civil, administrative) are independent; and acquittal does not block revocation because 'good cause' is a lower standard.