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In Re: Linda Maher,
Respondent
e, - q
STATE ETHICS COMMISSION
FINANCE BUILDING
613 NORTH STREET, ROOM 309
HARRISBURG, PA 17120 -0400
File Docket:
X -ref:
Date Decided:
Date Mailed:
FACSIMILE: 717- 787 -0806
WEBSITE: www ethics.va.gov
17 -045 -P
Order No. 564 -S
11/28/17
1211117
Before: Nicholas A. Colafella, Chair
Mark R. Corrigan, Vice Chair
Roger Nick
Maria Feeley
Melanie DePalma
Monique Myatt Galloway
Michael A. Schwartz
This is a final adjudication of the State Ethics Commission as to the alleged
delinquency and/or deficiency of Statement(s) of Financial Interests required to be filed
pursuant to Sections 1104 and 1105 of the Public Official and Employee Ethics Act ( "Ethics
Act "), 65 Pa.C.S. § 1101 et seq.
The Investigative Division initiated these proceedings by filing with the State Ethics
Commission and serving upon Respondent a Petition for Civil Penalties. An Order to Show
Cause was issued to Respondent. An Answer was not filed by the Respondent, and a
hearing was deemed waived. The record is complete. The Findings in this Order are
derived from the Petition for Civil Penalties filed by the Investigative Division.
I. FINDINGS:
1. Respondent is an adult individual who resides or maintains a mailing address at
[address redacted].
2. At all times relevant to these proceedings, Respondent has been a Special
Investigator 2 with the Pennsylvania Department of Banking and Securities, and as
such, Respondent has at all times relevant to these proceedings been a ' public
employee' as defined in Section 1102 of the Ethics Act, 65 Pa.C.S. § 1102.
3. Respondent as a public employee is subject to the Statement of Financial Interests
filing provisions of the Ethics Act.
4. Respondent has failed to provide full financial disclosure as required by the Ethics
Act. Respondent has failed to file a Statement of Financial Interests for calendar
year 2015, which Statement of Financial Interests was to be filed by May 1 of 2016,
and Respondent has therefore transgressed Sections 1104 and 1105 of the Ethics
Act, 65 Pa.C.S. §§ 1104, 1105.
5. By Notice letter dated October 31, 2016, Respondent was served with Notice in
accordance with Section 1107(5) of the Ethics Act of the specific allegations against
Respondent concerning the above transgression. Said Notice letter provided
Respondent an opportunity to avoid the institution of these civil enalty proceedings
by filing an accurate and complete Statement of Financial Interests for calendar
year 2015 within twenty (20 days of the date of the Notice letter. Respondent has
failed and refused to file a Statement of Financial Interests for calendar year 2015
so as to comply with the specific requirements of the Ethics Act.
Maher, 17 -045 -P
al age
By Notice letter dated Jan ua 24, 2017, Respondent was served with Notice in
accordance with Section 11 075) of the Ethics Act of the specific allegations against
Respondent concerning the above transgression. Said Notice letter provided
Respondent an opportunity to avoid the institution of these civi[ enalty proceedings
by filing an accurate and complete Statement of Financial Interests for calendar
year 2015 within twenty (20 days of the date of the Notice letter. Respondent has
failed and refused to file a Statement of Financial Interests for calendar year 2015
so as to comply with the specific requirements of the Ethics Act.
Section 1109(f) of the Ethics Act provides:
§ 1109. Penalties
(f) Civil penalty. - -In addition to any other civil
remedy or criminal penalty provided for in this chapter,
the commission may, after notice has been served in
accordance with section 1107(5) (relating to powers and
duties of commission) and upon a majority vote of its
members, levy a civil penalty upon any person subject
to this chapter who fails to file a statement of financial
interests in a timely manner or who files a deficient
statement of financial interests, at a rate of not more
than $25 for each day such statement remains
delinquent or deficient. The maximum penalty payable
under this paragraph is $250.
65 Pa.C.S. § 1109(f).
8. For each violation the Commission finds, Respondent is subject to civil penalty
liability under Section 1109(f) of the Ethics Act, 65 Pa.C.S. § 1109(f), at a rate of not
more than $25.00 per day for each day the Statement of Financial nterests remains
delinquent or deficient, for a maximum civil penalty of $250.00 per violation.
Because Respondent has committed one violation alleged herein, Respondent is
subject to total maximum civil penalty liability of $250.00.
9. There are no mitigating circumstances and Respondent should be assessed the
maximum civil penalty of $250.00, in that the twenty -day deadline set forth in the
said final Notice letter to Respondent has expired and the Respondent has not
complied.
II. DISCUSSION:
As a Special Investigator 2 for the Pennsylvania Department of Banking and
Securities, Linda Maher ( "Maher ") was at all times relevant to these proceedings a "public
employee , to the provisions of the Public Official and Employee Ethics Act ( "Ethics
Act'), 65 Pa.C.S. § 1101 et seq.
Pursuant to Section 1104(a) of the Ethics Act, Maher was specifically required to file
a Statement of Financial Interests for calendar year 2015 with the Pennsylvania
Department of Banking and Securities on or before May 1, 2016. Section 1104(a)
provides:
§ 1104. Statement of financial interests required to be filed
(a) Public official or public employee.- -Each public official of the
Commonwealth shall file a statement of financial interests for the preceding
calendar year with the commission no later than May 1 of each year that he
holds such a position and of the year after he leaves such a position. Each
Maher, 17 -045 -P
a-age— -3
public employee and public official of the Commonwealth shall file a
statement of financial interests for the preceding calendar year with the
department, agency, body or bureau in which he is employed or to which he
is appointed or elected no later than May 1 of each year that he holds such a
position and of the year after he leaves such a position. Any other public
employee or public official shall file a statement of financial interests with the
governing authority of the political subdivision by which he is employed or
within which he is appointed or elected no later than May 1 of each year that
he holds such a position and of the year after he leaves such a position.
Persons who are full -time or part -time solicitors for political subdivisions are
required to file under this section.
65 Pa.C.S. § 1104(a).
The complete financial disclosure which Maher as a Special Investigator 2 for the
Pennsylvania Department of Banking and Securities was required to provide in the
Statement of Financial Interests form is statutorily mandated in detail at Section 1105 of
the Ethics Act, 65 Pa.C.S. § 1105.
Section 1109(f) of the Ethics Act provides as follows:
§ 1109. Penalties
(f) Civil penalty. -- In addition to any other civil remedy or criminal
penalty provided for in this chapter, the commission may, after notice has
been served in accordance with section 1107(5) (relating to powers and
duties of commission) and upon a majority vote of its members, levy a civil
penalty upon any person subject to this chapter who fails to file a statement
of financial interests in a timely manner or who files a deficient statement of
financial interests, at a rate of not more than $25 for each day such
statement remains delinquent or deficient. The maximum penalty payable
under this paragraph is $250.
65 Pa.C.S. § 1109(f).
An application of Section 1109(f) to this case establishes that this Commission has
the discretion to levy a maximum civil penalty against Maher for the delinquent Statement
of Financial Interests for calendar year 2015.
The prerequisite service of a Notice letter in accordance with Section 1107(5) was
satisfied. Maher did not remedy the failure to comply with the Ethics Act although given
more than the usual grace period following Notice in which to do so. The Investigative
Division then instituted formal proceedings against Maher b filing with the State Ethics
Commission and serving upon Maher a Petition for Civil Penalties. The Commission Chair
issued an Order to Show Cause, ordering Maher to show cause why a civil penalty should
not be levied against her. Maher did not file an answer to the Order to Show Cause.
There is nothing of record that would constitute a defense or excuse for Maher's failure to
comply with the Ethics Act. Maher has failed to show cause why a civil penalty should not
be levied against her in this matter.
We find that Maher, as a Special Investigator 2 for the Pennsylvania Department of
Banking and Securities, failed to comply with Section 1104(a) of the Ethics Act, 65 Pa.C.S.
§ 1104(a), when she failed to file a Statement of Financial Interests for calendar year 2015
with the Pennsylvania Department of Banking and Securities.
We hereby levy ne maximum civil penalty against Maher at the rate of Twenty -Five
Dollars ($25.00) per day for each day her Statement of Financial Interests for calendar year
2015 has remained delinquent. Given the number of days during which the Statement of
Financial Interests has remained delinquent, the resultant amount to be levied against
Maher, 17 -045 -P
Page 4
Maher is Two Hundred and Fifty Dollars ($250.00).
Maher shall be ordered to make payment of the above civil penalty in the amount of
$250.00 by no later than the thirtieth (30t) day after the mailing date of this adjudication
and Order, by forwarding a check to this Commission made payable to the Commonwealth
of Pennsylvania, for deposit in the State Treasury.
Maher shall be ordered to file a complete and accurate Statement of Financial
Interests for calendar year 2015 with the Pennsylvania Department of Banking and
Securities by no later than the thirtieth (301'') day after the mailing date of this adjudication
and Order, with one copy forwarded to this Commission for compliance verification
purposes.
Ill. CONCLUSIONS OF LAW:
1. Linda Maher ( "Mager "), as a Special Investigator 2 for the Pennsylvania Department
of Banking and Securities, was at all times relevant to these proceedings a "public
employee subject to the provisions of the Public Official and Employee Ethics Act
( °Ethics Act "), 65 Pa. C.S. § 1101 et sec..
2. Maher, as a Special Investigator 2 for the Pennsylvania Department of Banking and
Securities, failed to comply with Section 1104(a) of the Ethics Act, 65 Pa.C.S. §
1104(a), when she failed to file a Statement of Financial Interests for calendar year
2015 with the Pennsylvania Department of Banking and Securities.
3. Notice of the delinquency of Maher's Statement of Financial Interests for calendar
year 2015 was previouslyy served upon her in accordance with Section 1107(5) of
the Ethics Act, 65 Pa.C.S. § 1107(5).
4. Based upon the totality of the circumstances in this case, a civil penalty in the total
amount of $250.00 is warranted.
In Re: Linda Maher, File Docket: 17 -045 -P
Respondent Date Decided: 11128117
Date Mailed: 1211117
ORDER NO. 564 -S
1. Linda Maher ("Maher"), as a Special Investigator 2 for the Pennsylvania Department
of Banking and Securities, failed to comply with Section 1104(a) of the Public
Official and Employee Ethics Act ( "Ethics Act "), 65 Pa.C.S. § 1104(a), when she
failed to file a Statement of Financial Interests for calendar year 2015 with the
Pennsylvania Department of Banking and Securities.
2. This Commission hereby levies one maximum civil penalty against Maher at the rate
of Twenty -Five Dollars ($25.00) per day for each day her Statement of Financial
Interests for calendar year 2015 has remained delinquent, for a total civil penalty of
Two Hundred and Fifty Dollars ($250.00. Maher is ordered to pay said civil penalty
in the total amount of $250.00 by no later than the thirtieth (30th) day after the
mailing date of this Order, by forwarding a check to the State Ethics Commission
made payable to the Commonwealth of Pennsylvania, for deposit in the State
Treasury.
3. Maher is ordered to file a complete and accurate Statement of Financial Interests
for calendar year 2015 with the Pennsylvania Department of Banking and Securities
by no later than the thirtieth (30th) day after the mailing date of this Order, with one
copy forwarded to the State Ethics Commission for compliance verification
purposes.
4. Failure to comply with Paragraph 2 or 3 of this Order will result in the initiation of an
appropriate enforcement action.
BY THE COMMISSION,
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