HomeMy WebLinkAbout698-S Gonzalez-OkertPHONE: 717-783-1610 STATE ETHICS COMMISSION
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In Re: Matey Gonzalez-Okert, File Docket:
Respondent
X-ref.,
Date Decided
Date Mailed:
FACSIMILE: 717-787-0806
WEBSITE: WWw ethics. paxqo
21-025-P
Order No. 698-5
6/23/21
7/1/21
Before: Nicholas A. Colafella, Chair
Mark R. Corrigan, Vice Chair
Roger Nick
Melanie DePalma
Michael A. Schwartz
Shelley Y. Simms
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 sec.
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:
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 Depository Financial
Institutions Examiner II 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 2019,
which Statement of Financial Interests was to be filed by May 1 of 2020, and Respondent
Gonzalez-Okert, 21-025-P
Page 2
has therefore transgressed Sections 1104 and 1105 of the Ethics Act, 65 Pa.C.S. §§ 1104,
1105.
By Notice letter dated September 15, 2020, 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 penalty proceedings by filing an
accurate and complete Statement of Financial Interests for calendar year 2019 within
twenty (20) days of the date of the Notice letter. Respondent has failed and refused to file
a complete Statement of Financial Interests for calendar year 2019 so as to comply with
the specific requirements of the Ethics Act.
6. By Notice letter dated October 14, 2020, 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 penalty proceedings by filing an accurate and complete
Statement of Financial Interests for calendar year 2019 within twenty (20) days of the date
of the Notice letter. Respondent has failed and refused to file a complete Statement of
Financial Interests for calendar year 2019 so as to comply with the specific requirements
of the Ethics Act.
7, Section 1 109(f) of the Ethics Act provides:
§ 1109. Penalties
(1) 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).
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 Interests 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.
Gonzalez-Okert, 21-025-P
Page 3
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 Depository Financial Institutions Examiner 11 for the Pennsylvania Department of
Banking and Securities ("Department of Banking and Securities"), Katey Gonzalez-Okert
("Gonzalez-Okert") 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 1 I04(a) of the Ethics Act, Gonzalez-Okert was specifically required to
file a Statement of Financial Interests for calendar year 2019 with the Department of Banking and
Securities on or before May 1, 2020. 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 I 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 Gonzalez-Okert as a Depository Financial
Institutions Examiner 11 for the 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
Gonzalez-Okert, 21-025-P
Page 4
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 Gonzalez-Okert for the delinquent Statement
of Financial Interests for calendar year 2019.
The prerequisite service of a Notice letter in accordance with Section 1107(5) was satisfied.
Gonzalez-Okert 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 Gonzalez-Okert by filing with the State Ethics Commission
and serving upon Gonzalez-Okert a Petition for Civil Penalties. The Commission Chair issued an
Order to Show Cause, ordering Gonzalez-Okert to show cause why a civil penalty should not be
levied against her. Gonzalez-Okert did not file an answer to the Order to Show Cause. There is
nothing of record that would constitute a defense or excuse for Gonzalez-Okert's failure to comply
with the Ethics Act. Gonzalez-Okert has failed to show cause why a civil penalty should not be
levied against her in this matter.
We find that Gonzalez-Okert, as a Depository Financial Institutions Examiner II for the
Department of Banking and Securities, failed to comply with Section 1104(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
2019 with the Department of Banking and Securities.
We hereby levy one maximum civil penalty against Gonzalez-Okert at the rate of Twenty -
Five Dollars ($25.00) per day for each day her Statement of Financial Interests for calendar year
2019 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 Gonzalez-Okert is Two
Hundred and Fifty Dollars ($250.00).
Gonzalez-Okert shall be ordered to make payment of the above civil penalty in the amount
of $250.00 by no later than the thirtieth (30'h) 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.
Gonzalez-Okert shall be ordered to file a complete and accurate Statement of Financial
Interests for calendar year 2019 with the Department of Banking and Securities by no later than
the thirtieth (30'h) 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:
Gonzalez-Okert, 21-025-P
Page 5
1. Katey Gonzalez-Okert ("Gonzalez-Okert"), as a Depository Financial Institutions
Examiner 11 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 seq.
2. Gonzalez-Okert, as a Depository Financial Institutions Examiner II for the Pennsylvania
Department of Banking and Securities, failed to comply with Section 1 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 2019 with the Pennsylvania Department of Banking and Securities.
3. Notice of the delinquency of Gonzalez-Okert's Statement of Financial Interests for
calendar year 2019 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: Katey Gonzalez-Okert,
Respondent
File Docket:
21-025-P
Date Decided:
6/23/21
Date Mailed:
7/1/21
ORDER NO. 698-S
Katey Gonzalez-Okert ("Gonzalez-Okert"), as a Depository Financial Institutions
Examiner I1 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 2019 with the Pennsylvania Department of Banking and Securities.
2. This Commission hereby levies one maximum civil penalty against Gonzalez-Okert at the
rate of Twenty -Five Dollars ($25.00) per day for each day her Statement of Financial
Interests for calendar year 2019 has remained delinquent, for a total civil penalty of Two
Hundred and Fifty Dollars ($250.00). Gonzalez-Okert 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. Gonzalez-Okert is ordered to file a complete and accurate Statement of Financial Interests
for calendar year 2019 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 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,
P 6 d, J N &A,
Nicholas A. Colafella hair