Responding to Secretary of State Inquiries as a California Notary

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Key Takeaways

• The Secretary of State investigates complaints against notaries and can demand a response
• Government Code section 8214.1 gives the SOS authority to deny, suspend, or revoke commissions
• You are entitled to notice and a hearing before your commission is revoked (GC section 8214.3)
• Your journal is evidence. Keep it accurate and complete because it is your defense

How Investigations Start

The Secretary of State’s Notary Public Section investigates complaints from the public, other government agencies, law enforcement, and sometimes its own audits. Common triggers include a signer filing a complaint about a notarization error, a title company reporting a missing journal entry, a court challenging the validity of a notarization, or a background check revealing a disqualifying conviction that was not disclosed on the application.

When the SOS opens an investigation, they typically send a letter to the notary at the address on file. This letter describes the complaint and asks the notary to respond with their version of events, relevant journal entries, or other documentation.

Your Obligation to Respond

Respond promptly and honestly. Ignoring an SOS letter does not make the investigation go away. If you do not respond, the SOS can proceed based solely on the complainant’s version of events. A failure to respond can also be considered independently as evidence of unprofessional conduct.

When you respond, include the relevant journal entries (photocopies, not originals), your recollection of the transaction, and any other documentation that supports your account. If you made an error, acknowledge it. The SOS distinguishes between honest mistakes and willful misconduct.

Possible Outcomes

After investigating, the Secretary of State can take several actions:

• No action: The complaint is unfounded or the evidence does not support a violation
• Advisory letter: A warning noting the issue without formal discipline
• Suspension: Your commission is suspended for a specified period
• Revocation: Your commission is canceled permanently
• Criminal referral: For serious violations like fraud, the SOS may refer the matter to law enforcement

Under Government Code section 8214.3, you have the right to an administrative hearing before your commission is revoked. You can present evidence, call witnesses, and be represented by an attorney. This due process right applies to revocation and suspension, not to advisory letters.

Why Your Journal Matters Most

Your journal is the single most important piece of evidence in any investigation. If a complainant says you notarized a document for someone who never appeared before you, your journal entry showing that person’s signature, thumbprint (for deeds and POAs), ID information, and the date and time of the notarization is your proof that the transaction was proper.

If your journal is incomplete or missing entries for the notarization in question, you have no evidence to contradict the complaint. This is why Government Code section 8206 requires a complete entry for every single notarization. The journal is not just a record-keeping formality. It is your legal defense.

Frequently Asked Questions

Do I need a lawyer for an SOS investigation?

You are not required to have one, but it is advisable if the complaint involves potential revocation, criminal conduct, or civil liability. For minor issues (a single missing journal entry, a fee dispute), you can usually respond on your own with documentation.

What if the complaint is about something I did years ago?

The SOS can investigate notarizations from prior commission periods. Your old journals (delivered to the county clerk when your commission expired) are still available. If you are still commissioned, the SOS can act against your current commission for past violations.

Can the SOS suspend my commission without a hearing?

Under Government Code section 8214.3, you are entitled to a hearing before revocation or suspension. The SOS must give you notice and an opportunity to be heard. Emergency suspensions are rare and typically involve allegations of active fraud.

What should I do if I receive an SOS letter?

Read it carefully. Gather your journal entries for the dates mentioned. Write a factual response describing what happened. Respond by the deadline in the letter. If the allegations are serious, consult an attorney before responding.

Can a complainant sue me separately from the SOS investigation?

Yes. The SOS investigation is an administrative process separate from any civil lawsuit. A signer who suffered financial harm from a notarial error can file a claim against your bond ($15,000) and sue you personally for damages beyond the bond amount. The two processes can happen simultaneously.