HomeMy WebLinkAbout305-S McNeilIn Re: Heather McNeil,
Respondent
File Docket:
X -ref:
Date Decided:
Date Mailed:
Before: Louis W. Fryman, Chair
John J. Bolger, Vice Chair
Donald M. McCurdy
Paul M. Henry
Raquel K. Bergen
Nicholas A. Colafella
06 -060 -P
Order No. 305 -S
10/4/2006
10/20/2006
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
quoted from the Petition for Civil Penalties filed by the Investigative Division.
This is a final Order, and it is publicly available upon issuance. Reconsideration
may be requested, but a request for reconsideration will not affect the finality of this
adjudication or its availability as a public document. Any reconsideration request must be
received at this Commission within thirty days of the mailing date noted above and must
include a detailed explanation of the reasons as to why reconsideration should be granted
in conformity with 51 Pa. Code §21.29(b).
McNeil, 06 -060 -P
Page 2
I. FINDINGS:
1. Respondent is an adult individual who resides or maintains a mailing address at
P.O. Box 34, Spruce Creek, PA 16683 -0034.
2. At all times relevant to these proceedings, Respondent has been a Securites [sic]
Researcher II and as such Respondent has at all times relevant to these
proceedings been a "public official" as that term is defined in Section 2 of the Ethics
Law, 65 Pa.C.S. §1102.
3. Respondent as a public official is subject to the Statement of Financial Interests
filing provisions of the Ethics Law.
4. Respondent has failed to provide full financial disclosure as required by the Ethics
Law. Respondent has failed to file [a] Statements [sic] of Financial Interests for
calendar year(s) 2004 with the Pennsylvania Treasury, which Statements [sic] of
Financial Interests were [sic] to be filed by May 1 of 2005, and Respondent has
therefore transgressed Sections 4 and 5 of the Ethics Law, 65 Pa.C.S. § §1104,
1105.
5. By Notice letter dated July 28, 2005, Respondent was served with Notice in
accordance with Section 7(5) of the Ethics Law of the specific allegations against
Respondent concerning the above transgression. Said Notice letter provided
Respondent an opportunity to avoid the institution of these civil penalty proceedings
by filing [an] accurate and complete Statements [sic] of Financial Interests for
calendar year(s) 2004 within twenty (20) days of the date of the Notice letter.
Respondent has failed and refused to file [a] Statements [sic] of Financial Interests
for calendar year(s) 2004 so as to comply with the specific requirements of the
Ethics Law.
6. By Notice letter dated October 14, 2005, Respondent was served with Notice in
accordance with Section 7(5) of the Ethics Law of the specific allegations against
Respondent concerning the above transgression. Said Notice letter provided
Respondent an opportunity to avoid the institution of these civil penalty proceedings
by filing [an] accurate and complete Statements [sic] of Financial Interests for
calendar year(s) 2004 within twenty (20) days of the date of the Notice letter.
Respondent has failed and refused to file [a] Statements [sic] of Financial Interests
for calendar year(s) 2004 so as to comply with the specific requirements of the
Ethics Law.
7 Section 9(f) of the Ethics Law provides:
Section 9. Penalties
(f) In addition to any other civil remedy or criminal
penalty provided for in this act, the commission may, after
notice has been served in accordance with section 7(5) and
upon a majority vote of its members, levy a civil penalty upon
any person subject to this act 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 9(f) of the Ethics Law, 65 Pa. C.S. §1109(f) at a rate of not
McNeil, 06 -060 -P
Page 3
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.
Because Respondent has committed one violation(s) alleged herein, Respondent is
subject to total maximum civil penalty liability of $250.00 for said violation(s).
9. There are no mitigating circumstances and Respondent should be assessed the
maximum civil penalty of $250.00 for each violation, 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 Securities Researcher II, Heather McNeil ( "McNeil ") was at all times relevant to
these proceedings a "public official /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, McNeil was specifically required to
file a Statement of Financial Interests for calendar year 2004 with the Pennsylvania
Treasury on or before May 1, 2005. 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
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 McNeil as a Securities Researcher II 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.
McNeil, 06 -060 -P
Page 4
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 McNeil for each delinquent or
deficient Statement of Financial Interests.
The prerequisite service of a Notice letter in accordance with Section 1107(5) was
satisfied. McNeil 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 McNeil by
filing with the State Ethics Commission and serving upon McNeil a Petition for Civil
Penalties. The State Ethics Commission issued an Order to Show Cause, ordering McNeil
to show cause why a civil penalty should not be levied against her.
McNeil did not file an answer to the Order to Show Cause. There is nothing of
record that would constitute a defense or excuse for McNeil's failure to comply with the
Ethics Act. McNeil has failed to show cause why a civil penalty should not be levied
against her in this matter.
We find that McNeil, as a Securities Researcher II, 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 2004 with the Pennsylvania Treasury.
We hereby levy one civil penalty against McNeil at the rate of Twenty -Five Dollars
($25.00) per day, for each day her Statement of Financial Interests for calendar year 2004
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
McNeil is Two - Hundred and Fifty Dollars ($250.00).
McNeil 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 Order, by
forwarding a check to this Commission made payable to the Commonwealth of
Pennsylvania, for deposit in the State Treasury.
McNeil shall be ordered to file a complete and accurate Statement of Financial
Interests for calendar year 2004 with the Pennsylvania Treasury within 30 days of the
issuance of this adjudication and Order with one copy filed with this Commission for
compliance verification purposes.
III. CONCLUSIONS OF LAW:
1. McNeil ( "McNeil "), as a Securities Researcher II, was at all times relevant to these
proceedings a "public official /public employee" subject to the provisions of the
Public Official and Employee Ethics Act ( "Ethics Act "), 65 Pa.C.S. §1101 et seq.
2. McNeil, as a Securities Researcher II, 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 2004 with the Pennsylvania Treasury.
3. Notice of the delinquency of McNeil's Statement of Financial Interests for calendar
year 2004 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 is warranted.
McNeil, 06 -060 -P
Page 5
IN RE: Heather McNeil,
Respondent
ORDER NO. 305 -S
File Docket: 06 -060 -P
Date Decided: 10/4/2006
Date Mailed: 10/20/2006
1 Heather McNeil, ( "McNeil ") as a Securities Researcher II, 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 2004 with the Pennsylvania Treasury.
2. This Commission hereby levies one civil penalty against McNeil at the rate of
Twenty -Five Dollars ($25.00) per day for each day her Statement of Financial
Interests for calendar year 2004 has remained delinquent, for a total civil penalty of
Two - Hundred and Fifty Dollars ($250.00). McNeil is ordered to pay the said civil
penalty in the total amount of $250 by no later than the thirtieth (30 day after the
mailing date of this Order, by forwarding a check to this Commission made payable
to the Commonwealth of Pennsylvania, for deposit in the State Treasury.
3. McNeil is ordered to file a complete and accurate Statement of Financial Interests
for calendar year 2004 with the Pennsylvania Treasury within 30 days of issuance
of this adjudication and Order, with one copy filed with this Commission for
compliance verification purposes.
4. Failure to comply with any provision of this Order will result in the initiation of an
appropriate enforcement action.
BY THE COMMISSION,
Louis W. Fryman, Chair