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Court and DOS Decisions

Second Quarter 2016 DOS Decisions

The following citations refer to Department of State decisions before an Administrative Law Judge. Each decision describes the subject matter of the hearing.

206 DOS 16     failure to comply with consent order

208 DOS 16     unlicensed activity

231 DOS 16     unlicensed activity, failure to supervise, unlicensed practice of law, failure to disclose material defect, untrustworthy, incompetent

239 DOS 16     CE, failure to cooperate

260 DOS 16     client funds, breach of fiduciary duty

340 DOS 16     failure to satisfy judgment

344 DOS 16     failure to satisfy judgment

355 DOS 16     failure to satisfy judgment

393 DOS 16     fiduciary duty, unearned commission, unlicensed activity, advertising

461 DOS 16     material misstatement, CE, untrustworthy, failure to cooperate

466 DOS 16     material misstatement, CE, untrustworthy

470 DOS 16     advertising, failure to cooperate

490 DOS 16     failure to comply with consent order, failure to cooperate, untrustworthiness, incompetency

505 DOS 16     conversion of funds, comingled funds, unlicensed practice of law, failure to cooperate, failure to satisfy judgment

506 DOS 16     conversion of funds, failure to deposit funds with broker, failure to cooperate, failure to notify DOS of change in address

518 DOS 16     collecting funds for BPO’s without going through broker, unlicensed activity, incompetency, untrustworthiness

 

 

First Quarter 2016 DOS Decisions

Third and Fourth Quarter 2015 DOS Decisions

Second Quarter 2015 DOS Decisions

First Quarter 2015 DOS Decisions

Third and Fourth Quarter 2014 DOS Decisions

Second Quarter 2014 DOS Decisions

First Quarter 2014 DOS Decisions

Fourth Quarter 2013 DOS Decisions

Third Quarter 2013 DOS Decisions

Second Quarter 2013 DOS Decisions

First Quarter 2013 DOS Decisions

Fourth Quarter 2012 DOS Decisions

Third Quarter 2012 DOS Decisions

Second Quarter 2012 DOS Decisions

First Quarter 2012 DOS Decisions

Fourth Quarter 2011 DOS Decisions

Third Quarter 2011 DOS Decisions 

Second Quarter 2011 DOS Decisions 

First Quarter 2011 DOS Decisions

Fourth Quarter 2010 DOS Decisions

Fourth Quarter 2009 DOS Decisions 

Third Quarter 2009 DOS Decisions

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