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In Re: Lindsay Zimmerman,
Respondent
STATE ETHICS COMMISSION
FINANCE BUILDING
613 N(` R'n-rSTREE-r, ROOM 309
HARRISBURG, PA 17120-0400
File Docket.
Order No.
Date Decide&
Date Mailed:
23-015-P
768-S
6/29/23
6/30/23
Before: Shelley Y. Simms, Chair
Michael A. Schwartz, Vice Chair
Rhonda Hill Wilson
Paul E. Parsells
David L. Reddecliff
Robert P. Caruso
FACSIMILE: 717-787-0806
WEBSITE: WyL w,pibis q.paA�ay
This is a final adjudication of the Pennsylvania 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 M.
The Investigative Division initiated these proceedings by filing with the State Ethics
Commission and serving upon Respondent an Order to Show Cause and a Petition for Civil
Penalties. An Answer was, not filed by the Respondent, and a hearing was deemed waived. A
Motion to Deem Facts Admitted and Enter Default was filed. The Motion was granted. The record
is complete. The Findings in this Order are derived from the Order to Show Cause and Petition
for Civil Penalties filed by the Investigative Division.
1. FINDINGS:
1. Respondent is an adult individual who resides or maintains a mailing address at [address
redacted].
2. From May 6, 2019 to March 25, 2022, Respondent was an Insurance Company Financial
Analyst I with the Pennsylvania Insurance Department, and as such, Respondent has at all
times relevant to these proceedings been a "public official" or "public employee" as
defined in Section 1102 of the Ethics Act, 65 Pa,C.S. § 1102.
3. Respondent as a public official or public employee is subject to the Statement of Financial
Interests filing provisions of the Ethics Act.
COUNT ONE
Zimmerman, 23-015-P
Page 2
4. Paragraphs 1 through 3 are incorporated by reference.
Section 1104 of the Ethics Act requires all public officials and employees to file a
Statement of Financial Interests by no later than May 1 of each year that the public official
or public employee holds such position and the year after they leave such a position. 65
Pa.C.S. § 1104.
6. Section 1105 of the Ethics Act lists the information required to be filed on the Statement
of Financial Interests. 65 Pa.C.S. § 1105.
7. Respondent has failed to provide full financial disclosure as required by the Ethics Act.
Specifically, Respondent has failed to file a Statement of Financial Interests for calendar
year 2021, which Statement of Financial Interests was to be filed by May 1 of 2022, and
Respondent has therefore transgressed Sections 1104 and 1105 of the Ethics Act, 65
Pa.C.S. §§ 1104, 1105.
8, By Notice letter dated October 3, 2022, Respondent was served with Notice in accordance
with Section 1107(5) of the Ethics Act of the specific allegations against Respondent
concerning the above transgressions. 65 Pa.C.S. § 1107.
9. Said Notice letter provided Respondent an opportunity to avoid the institution of these civil
penalty proceedings by filing an accurate and complete Statement of Financial Interests for
calendar year 2021 within twenty (20) days of the date of the Notice letter.
10. Respondent failed to file a Statement of Financial Interests for calendar year 2021 within
twenty (20) days of the date of the Notice letter so as to comply with the specific
requirements of the Ethics Act.
11. By letter dated October 28, 2022, Respondent was served with a second correspondence
titled "Final Notice" of the specific allegations against Respondent concerning the above
transgressions.
12. Said second correspondence titled "Final Notice" again provided Respondent an
opportunity to avoid the institution of these civil penalty proceedings by filing an accurate
and complete Statement of Financial Interests for calendar year 2021 within twenty (20)
days of the date of the second correspondence titled "Final Notice".
13. Respondent has failed and refused to file a Statement of Financial Interests for calendar
year 2021 so as to comply with the specific requirements of the Ethics Act.
PENALTIES
14. Section 1109(f) of the Ethics Act provides:
§ 1109. Penalties
Zimmerman, 23-015-P
Page 3
(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. § 1 I09(f).
15. 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. § I I09(f), at a rate of not more than
$25.00 per day for each day the Statement of Financial Interests remains delinquent or
deficient, for a maximum civil penalty of $250.00 per violation.
16. Because Respondent has committed one violation alleged herein, Respondent is subject to
total maximum civil penalty liability of $250,00.
17. 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 second
correspondence titled "Final Notice" to Respondent has expired and the Respondent has
not complied.
18. Pursuant to Section 1107(15) of the Ethics Act and Section 21.30(4) of the Ethics Act
Regulations, the Commission may refer this matter for review by law enforcement
officials, with a specific recommendation for criminal prosecution of this matter. See, 65
Pa.C.S. § 1107(15); 51 Pa. Cade§ 21.30(4).
II. DISCUSSION:
As an Insurance Company Financial Analyst I with the Pennsylvania Insurance
Department ("Insurance Department"), Lindsay Zimmerman ("Zimmerman") 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 seq.
Pursuant to Section 1104(a) of the Ethics Act, Zimmerman was specifically required to file
a Statement of Financial Interests for calendar year 2021 with the Pennsylvania Insurance
Department on or before May 1, 2022. Section I i 04(a) provides:
§ 1104. Statement of financial interests required to be filed
Zimmerman, 23-015-P
Page 4
(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 I of each year that he holds
such a position and of the year after he leaves such a position. Each 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 Zimmerman was an Insurance Company
Financial Analyst 1 with the Insurance Department 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 Zimmerman for the delinquent Statement of
Financial Interests for calendar year 2021.
The prerequisite service of a Notice letter in accordance with Section 1107(5) was satisfied.
Zimmerman 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 Zimmerman by filing with the State Ethics Commission and
serving upon Zimmerman an Order to Show Cause and Petition for Civil Penalties, ordering
Zimmerman, 23-015-P
Page 5
Zimmerman to show cause why a civil penalty should not be levied against her. Zimmerman did
not file an answer to the Order to Show Cause. A default judgment was entered against
Zimmerman. There is nothing of record that would constitute a defense or excuse for
Zimmerman's failure to comply with the Ethics Act. Zimmerman has failed to show cause why a
civil penalty should not be levied against her in this matter.
We find that Zimmerman, as an Insurance Company Financial Analyst 1 with the
Pennsylvania Insurance Department, failed to comply with Section I I04(a) of the Ethics Act, 65
Pa.C.S. § 1104(a), when she failed to file a Statement of Financial Interests for calendar year 2021
with this Commission.
We hereby levy one maximum civil penalty against Zimmerman at the rate of Twenty -Five
Dollars ($25.00) per day for each day her Statement of Financial Interests for calendar year 2021
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 Zimmerman is Two
Hundred and Fifty Dollars ($250.00).
Zimmerman shall be ordered to make payment of the above civil penalty in the amount of
$250.00 by no later than the thirtieth (30"') 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.
Zimmerman shall be ordered to file a complete and accurate Statement of Financial
Interests for calendar year 2021 with the Pennsylvania Insurance Department by no later than the
thirtieth (30"') day after the mailing date of this adjudication and Order, with one copy forwarded
to this Commission for compliance verification purposes.
III. CONCLUSIONS OF LAW:
1. Lindsay Zimmerman ("Zimmerman"), as an Insurance Company Financial Analyst 1 with
the Pennsylvania Insurance Department, 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 seq.
2. Zimmerman, as an Insurance Company Financial Analyst 1 with the Pennsylvania
Insurance Department, failed to comply with Section I I04(a) of the Ethics Act, 65 Pa.C.S.
§ I I04(a), when she failed to file a Statement of Financial Interests for calendar year 2021.
3. Notice of the delinquency of Zimmerman's Statement of Financial Interests for calendar
year 2021 was previously 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: Lindsay Zimmerman, File Docket: 23-015-P
Respondent Date Decided: 6I29123
Date Mailed: 6/30/23
ORDER NO. 768-S
1. Lindsay Zimmerman ("Zimmerman"), as an Insurance Company Financial Analyst 1 with
the Pennsylvania Insurance Department ("Insurance Department"), failed to comply with
Section 1 104(a) of the Public Official and Employee Ethics Act ("Ethics Act"), 65 Pa.C.S.
§ I I04(a), when she failed to file a Statement of Financial Interests for calendar year 2021.
2. This Commission hereby levies one maximum civil penalty against Zimmerman at the rate
of Twenty -Five Dollars ($25.00) per day for each day her Statement of Financial Interests
for calendar year 2021 has remained delinquent, for a total civil penalty of Two Hundred
and Fifty Dollars ($250.00). Zimmerman is ordered to pay said civil penalty in the total
amount of $250,00 by no later than the thirtieth (30"') day after the mailing date of this
Order, by forwarding a check to the Pennsylvania State Ethics Commission made payable
to the Commonwealth of Pennsylvania, for deposit in the State Treasury.
3. Zimmerman is ordered to file a complete and accurate Statement of Financial Interests for
calendar year 2021 with the Pennsylvania Insurance Department by no later than the
thirtieth (30th) day after the mailing date of this Order, with one copy forwarded to the
Pennsylvania 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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6 t CA CAL
Shelley Y. Si , Chair