offer of any special inducement or promise of advantage, or by the bestowing of any gift or favor or other thing of value.

(t) No licensed customhouse broker shall refuse access to, conceal, remove, or destroy the whole or any part of any book, paper, or other record, relating to his transactions as a customhouse broker, which is being sought, or which the broker has reasonable grounds to believe may be sought, by the Treasury Department or any representative thereof, or shall otherwise interfere, or attempt to interfere, with any proper and lawful efforts by such Department or representative, to procure such information.

(u) Every licensed officer or member of a corporation, association, or partnership, which is licensed as a customhouse broker, shall exercise responsible supervision and control over the transaction of the customhouse business of such corporation, association, or partnership.

(v) A licensed broker who is authorized by State law to transact business under a fictitious or trade name shall, when signing customs documents, affix his own name in conjunction with each signature of the fictitious or trade name.**

11.10 Revocation or suspension of licenses-(a) Provisions of Tariff Act. The Tariff Act of 1930, section 641 (b), as amended, provides:

The collector or chief officer of the customs may at any time, for good and sufficient reasons, serve notice in writing upon any customhouse broker so licensed to show cause why said license shall not be revoked or suspended, which notice shall be in the form of a statement specifically setting forth the ground of complaint. The collector or chief officer of customs shall within ten days thereafter notify the customhouse broker in writing of a hearing to be held before him within five days upon said charges. At such hearing the customhouse broker may be represented by counsel, and all proceedings including the proof of the charges and the answer thereto, shall be presented, with the right of cross-examination to both parties, and a stenographic record of the same shall be made and a copy thereof shall be delivered to the customhouse broker. At the conclusion of such hearing the collector or chief officer of customs shall forthwith transmit all papers and the stenographic report of the hearing, which shall constitute the record of the case, to the Secretary of the Treasury for his action. Thereupon the said Secretary of the Treasury shall have the right to revoke or suspend the license of any customhouse broker shown to be incompetent, disreputable, or who has refused to comply with the rules and regulations issued under this section, or who has, with intent to defraud, in any manner willfully and knowingly deceived, misled, or threatened any importer, exporter, claimant, or client, or prospective importer, exporter, claimant, or client, by word, circular, letter or by advertisement.

(b) Procedure. Proceedings against customhouse brokers shall be governed by the following rules:

(1) All complaints or charges against customhouse brokers filed with collectors or other customs officers shall forthwith be forwarded for investigation to the supervising customs agent in charge of the district in which the broker is located. The supervising customs agent shall make his report and transmit it, with recommendation, to the collector of the appropriate district, for such action as may be necessary, and shall also transmit copies thereof to the Committee and to the Commissioner of Customs.

(2) If the collector determines that there is not sufficient evidence to prefer charges, he shall report all the facts to the Committee and to the Commissioner of Customs. If the collector determines that

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**For statutory and source citations, see note to 8 11.1.

there is sufficient evidence to prefer charges, he shall proceed in accordance with paragraph (a) of this section. The collector may call upon the attorney for the Government before the Committee on Enrollment and Disbarment to aid him in preparing the notice to show cause to be served upon the accused broker.

(3) Notice of the charges, signed by the collector, shall be served upon such customhouse broker in the following manner:

(i) If an individual—

By delivery to the accused broker personally, or

By registered mail, with demand for a return card signed solely by the addressee;

(ii) If a corporation, association, or partnership,

By delivery to any officer of such a corporation or association, or member of such partnership, or

By registered mail addressed to any such officer or member, with demand for a return card signed solely by the addressee:

Provided, That, if a customhouse broker shall have signed and filed with the Committee his written consent to be served in some other manner, it shall be sufficient if service is made in that manner. Where the service is by registered mail, the receipt of the return card duly signed shall be satisfactory evidence of service.

(4) The notice shall state the place where and time within which the accused may file in duplicate his verified answer, and shall contain or be accompanied by a statement of charges, which statement shall be signed by the collector, giving a plain and concise, but not necessarily detailed, description of the facts which it is claimed constitute grounds for suspension or revocation of license. A statement of charges which fairly informs the accused of the charges against him so that he is able to prepare his defense shall be deemed sufficient. Different means by which a purpose might have been accomplished or different intents with which acts might have been done so as to constitute ground for suspension or revocation of license, may be alleged in the statement of charges in a single count in the alternative. If, in order to prepare his defense, the accused desires additional information as to the time and place of the alleged misconduct, or the means by which it was committed, or any other more specific information concerning the alleged misconduct, he may present a motion in writing to the collector asking that the statement of charges be made more specific, setting forth in such motion in what specific respect the statement of charges leaves him in doubt and describing the particular language of the statement of charges as to which additional information is needed. If in the opinion of the collector such information is reasonably necessary to enable the accused to prepare his defense, the collector shall furnish the accused with an amended statement of charges giving the needed information.

(5) After notice of the charges has been duly served, all other papers in the case, including notice of the time and place of the hearing, shall be served as follows:

(i) By delivering the same to the accused personally if an individual; or if a corporation, association, or partnership, to any officer or member thereof; or

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(ii) By leaving them at the office of the accused, or of such officer or member, with his clerk or with a person in charge thereof; or

(iii) By depositing them in a United States post office or postoffice box, enclosed in a sealed envelope, plainly addressed to such accused, or to such member or officer, at the address under which the accused is licensed or at the last known address of the accused, or such member or officer.

(iv) When the accused, whether an individual, corporation, association, or partnership, is represented by attorney, by service upon the attorney in the same manner as provided for in paragraph (b)(3) for service on the accused personally.

(6) Copies of all papers in the case, including the notice of charges, and notice of the time and place of all hearings, shall be sent promptly by the collector to the Committee.

(7) The hearing shall be before the collector. The collector shall designate an officer of his staff to represent the Government at the hearing and shall provide a stenographer to make the stenographic record. The attorney for the Government before the Committee on Enrollment and Disbarment, or another attorney designated by the Committee, shall be present and participate in the presentation of testimony. A member or members of the Committee may be present at the hearing. A member or representative of the Committee may act for the collector in taking depositions when necessary. Upon conclusion of the hearing, the collector shall forthwith transmit all papers and three copies of the transcript of the hearing to the Secretary of the Treasury (attention of the Committee on Enrollment and Disbarment).

(8) Promptly after the record in a case has been received by the Committee, a copy of a transcript of the evidence, accompanied by proposed findings of fact based upon all the evidence in the case, prepared by the attorney for the Government, shall be delivered to the accused or his attorney. The accused shall have 10 days thereafter in which to submit in writing to the Committee his objections, if any, to such findings. The accused or his attorney shall have the right to examine all exhibits introduced at the hearing. The Committee shall promptly after the receipt of such objections, or after the expiration of 10 days if no such objections are filed, make its findings of fact. The Committee shall recommend to the Secretary the dismissal of the charges when in its opinion such charges have not been proved.

(9) If the evidence at the hearing indicates that a proper disposition of the case cannot be made on the basis of the charges preferred, the Committee may recommend to the Secretary that the charges be dismissed and the collector be instructed to file appropriate charges as a basis for new proceedings.

(10) The Committee shall disregard an immaterial misnomer of a third person, an immaterial mistake in the description of any person, thing, or place or the ownership of any property, a failure to prove immaterial allegations in the description of the accused's conduct, or any other immaterial mistake in the statement of charges. (11) If the Committee or a majority thereof finds that a part of the charges in the statement of charges is not sufficiently proved

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but that the remainder of the charges is so proved, it may recommend a finding that the accused is guilty upon any ground for suspension or revocation of license which is substantially charged by the remainder of the statement of charges.

(12) No recommendations shall be made by the Committee as to findings of fact in cases of default by the accused except upon evidence submitted on behalf of the Government.

(13) If in the opinion of the Committee suspension or revocation of license should be recommended, it shall so report and recommend to the Secretary of the Treasury. Such report and recommendation shall be signed by all members of the Committee agreeing thereto. Any member of the Committee dissenting therefrom shall submit a statement of his reasons for such dissent.

(14) If the Secretary of the Treasury in the exercise of his discretion issues his order of suspension or revocation of the license of the accused, notice thereof shall be given by the Committee to the heads of all interested bureaus, officers, and divisions of the Treasury Department and to other interested departments and agencies of the Government in such manner as the Committee may determine. Except as provided in § 11.13, such person will not thereafter be recognized as a customhouse broker during the period of suspension or revocation of his license.

(15) Any customhouse broker who has been suspended or whose license has been revoked may make written application to the Committee to have the order of suspension or revocation set aside or modified upon the ground (i) of newly discovered evidence, or (ii) that important evidence is now available which the applicant was unable to produce at the original hearing by the exercise of due diligence. Every such application shall be filed with the Committee in duplicate. Such application must set forth specifically the precise character of the evidence to be relied upon in its support and shall state the reasons why the applicant was unable to produce it when the original charges were heard. If the Committee after due consideration of the application shall deem it sufficiently meritorious to warrant a hearing, it shall so recommend to the Secretary, who may order the taking of additional testimony before the collector. The collector shall set a time and place for such hearing, and give due notice thereof to the applicant. The hearing shall be conducted as set forth in § 11.10 (b) (7). Upon the conclusion of the hearing the collector shall submit three copies of the transcript of the hearing to the Committee. The Committee shall then make its recommendations to the Secretary in the manner heretofore prescribed in connection with revocation and suspension proceedings. (16) In the event that the Secretary shall issue an order vacating or modifying the prior order of suspension or revocation, notice thereof shall be given to all those to whom notice of the original order of suspension or revocation was sent.

(17) In the case of sickness or necessary absence of the collector which prevents him from acting as provided in this section, the assistant collector shall be deemed the chief officer of the customs

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referred to in paragraph (a) of this section, and shall perform the duties of the collector herein prescribed.*+

11.11 Cancelation of licenses. The Tariff Act of 1930, section 641 (a), provides:

* * Any license granted to any such corporation, association, or partnership shall be deemed revoked if for any continuous period of more than sixty days after the issuance of such license there are not at least two officers of such corporation or association or two members of such partnership who are qualified to transact business as customhouse brokers.

(a) Any corporation, association, or partnership which is licensed as a customhouse broker shall immediately notify the collector of each district in which it is licensed to transact business in the event it ceases to have at least two officers or members who are licensed individually as customhouse brokers and who exercise responsible supervision and control of the transaction of the customs business of the licensed organization. Collectors shall report to the Committee all cases wherein the required number of officers or members of any licensed corporation, association, or partnership have ceased to be qualified as licensed customhouse brokers and the deficiency has continued for more than 60 days. The Committee shall, in such cases, notify the corporation, association, or partnership that its license has been revoked in accordance with the requirement of section 641 (a) of the Tariff Act of 1930 (46 Stat. 759; 19 U.S.C. 1641). A copy of such notice shall be sent by the Committee to the collector.

(b) A customhouse broker's license may be canceled upon written application to the Committee and surrender of the license certificate, but before granting the request, inquiry shall be made by the Committee to ascertain whether it has been made in order to evade proceedings for revocation or suspension of the license, in which event the request shall be denied, unless the Secretary of the Treasury shall otherwise order.**

11.12 Licenses issued under prior acts of Congress. The Tariff Act of 1930, section 641 (c), as amended, provides:

Licenses issued under the Act of June 10, 1910 (36 Stat. 454; U.S.C., title 19, see. 415), or under the provisions of subdivision (a) of this section prior to the effective date of this amendment, shall continue in force and effect, subject to suspension and revocation as provided in subdivision (b) of this section.

11.13 Appeal from the Secretary's decision. The Tariff Act of 1930, section 641 (b), as amended, provides:

** ** * An appeal may be taken by any licensed customhouse broker from any order of the Secretary of the Treasury suspending or revoking a license. Such appeal shall be taken by filing, in the circuit court of appeals of the United States within any circuit wherein such person resides or has his principal place of business, or in the United States Court of Appeals for the District of Columbia, within sixty days after the entry of such order, a written petition praying that the order of the Secretary of the Treasury be modified or set aside in whole or in part. A copy of such petition shall be forthwith served upon the Secretary of the Treasury, or upon any officer designated by him for that purpose, and thereupon the Secretary of the Treasury shall certify and file in the court a transcript of the record upon which the order complained of was entered. Upon the filing of such transcript such court shall have exclusive jurisdiction to affirm, modify, or set aside such order, in whole or in part. No

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**For statutory and source citations, see note to § 11.1.