§ 6.20   Review and disposition of informal complaints.

   (a)  Where  it  appears  from  the  defendant's  answer, or from other
   communications  with  the parties, that an informal complaint has been
   satisfied, the Commission may, in its discretion, consider the informal
   complaint closed, without response to the complainant or defendant. In all
   other cases, the Commission shall inform the parties of its review and
   disposition of a complaint filed under this subpart. Where practicable, this
   information, the nature of which is specified in paragraphs (b) through (d)
   of this section, shall be transmitted to the complainant and defendant in
   the  manner  requested  by  the  complainant, (e.g., letter, facsimile
   transmission,  telephone (voice/TRS/TTY), Internet e-mail, ASCII text,
   audio-cassette recording, or braille).

   (b)  In  the event the Commission determines, based on a review of the
   information provided in the informal complaint and the defendant's answer
   thereto, that no further action is required by the Commission with respect
   to  the  allegations contained in the informal complaint, the informal
   complaint shall be closed and the complainant and defendant shall be duly
   informed  of  the reasons therefor. A complainant unsatisfied with the
   defendant's response to the informal complaint and the staff decision to
   terminate action on the informal complaint may file a formal complaint with
   the Commission, as specified in § 6.22.

   (c)  In  the event the Commission determines, based on a review of the
   information presented in the informal complaint and the defendant's answer
   thereto,  that  a  material and substantial question remains as to the
   defendant's compliance with the requirements of this subpart, the Commission
   may conduct such further investigation or such further proceedings as may be
   necessary to determine the defendant's compliance with the requirements of
   this  subpart  and  to determine what, if any, remedial actions and/or
   sanctions are warranted.

   (d) In the event that the Commission determines, based on a review of the
   information presented in the informal complaint and the defendant's answer
   thereto, that the defendant has failed to comply with or is presently not in
   compliance with the requirements of this subpart, the Commission may order
   or prescribe such remedial actions and/or sanctions as are authorized under
   the Act and the Commission's rules and which are deemed by the Commission to
   be appropriate under the facts and circumstances of the case.

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