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1. Absence of Harm to Public

37 DOS 92 Matter of DOS v. Marks - availing of another broker's sales associates, belated change of association - $400 fine or 1-month suspension

66 DOS 93 Matter of Kingsley - sales associate failure to complete RPL §443 agency disclosure form; broker unaware and had made good faith efforts to educate sales staff; parties knew who broker was representing; reprimand

83 DOS 93 Matter of Farrell - failure to timely obtain a signed disclosure form from seller prior to listing; brief period since new legislation effective; no prejudice to parties; reprimand

128 DOS 93 Matter of DOS v. Vuksanaj - motion to conform pleadings to proof granted where (I) additional evidence wouldn't have been presented if the charge had been stated in the complaint and (ii) issue was actually litigated and was within the "broad framework of the pleadings"; broker's authorization to execute lease on behalf of landlord must be in writing to be valid (G.O.L. §5-703); no commission earned on void lease (due to lack of written authority for broker to sign for landlord); broker is undisclosed "double agent" - thus "fails to make clear" for which party he is acting (175.7); broker is not "managing agent" under NYC Rent Stabilization Code unless (I) broker has ownership or financial interest in property or (ii) performs managerial duties; separate escrow account (§175.1) not required when broker is not holding escrowed funds; holding funds overnight does not trigger requirement for escrow account (returned next day upon demand); unlicensed name used in commission agreement but lack of intent to mislead considered in mitigation; restitution of unearned commission

131 DOS 93 Matter of Sitterly - consolidate separate complaints where common questions of law and fact would serve the interests of justice and administrative economy; contracts are presumed to express parties' intention and effect is given to their plain words; broker can rely upon deposit clause providing for funds to be maintained in escrow or until mutual agreement of the parties; ALJ does not consider uncharged claim of use of form contract with mutually inconsistent provisions; unlicensed name (addition of franchiser's name to the licensed name) violation mitigated by absence of harm to public; reprimand and discontinue use of licensed name or obtain licensure of franchisee name; corporate broker vicariously liable for acts of representative broker

134 DOS 93 Matter of DOS v. Frantz - individually licensed broker fails to obtain an associate broker's license when affiliated with corporate broker; sponsoring broker fined $250; mitigating circumstances include lack of harm to public and inadvertent violation; reprimand to "associate broker"

136 DOS 93 Matter of DOS v. McCarthy - individually licensed broker fails to obtain an associate broker's license when affiliated with corporate broker; sponsoring broker fined $250; mitigating circumstances include lack of harm to public and inadvertent violation; reprimand to associate broker; consolidated separate complaint where common question of law and fact and would serve the interests of justice and administrative economy

99 DOS 94 Matter of DOS v. Burgstrom - individually licensed broker who conducts business under name of a licensed corporate broker must have affiliated license; without associate broker license, such conduct is unlicensed activity; inadvertent violation without any intent to circumvent licensing law; reprimand

730 DOS 02 DOS v. New World Realty of New York, Inc. – availing of license; deposits; disclosure of agency relationships; duty to supervise sales associates; failure to pay judgment; proper business practices; DOS has jurisdiction where disciplinary action was started while individual was licensed as an associate broker and was eligible to automatically renew at the time of the disciplinary hearing; salesperson owned voting stock in licensed corporate real estate broker, failed to pay judgment and failed to present evidence of inability to do so, and engaged in unlicensed activity after license expired; representative broker availed corporate real estate brokers license to salesperson; representative broker failed to properly supervise salesperson by permitting and authorizing salesperson to act as a real estate broker; broker and salesperson failed to make agency disclosures and failed to deposit funds of principal in a special bank account; real estate transaction conducted was a fraudulent business practice; DOS fails to prove the unauthorized practice of law; salesperson’s license revoked and salesperson ordered to pay refund of $1,406.00 of illegal commission collected; representative broker’s license revoked and broker ordered to refund $74.00 of illegal commission collected; representative broker fined $5,000.00

94 DOS 07 Matter of Singur- broker, reopening of hearing regarding license renewal in interests of justice; prior misconduct- 3 year suspension as attorney due to escrow account violations, acknowledgement of responsibility, credibility and character references; renewal granted

94 DOS 07 Matter of Singur- broker, reopening of hearing regarding license renewal in interests of justice; prior misconduct- 3 year suspension as attorney due to escrow account violations, acknowledgement of responsibility, credibility and character references; renewal granted

513 DOS 07 Matter of Balfour- appraiser; failure to complete continuing education; inadvertent noncompliance as result of misunderstanding, not untrustworthiness or incompetence; complaint dismissed

516 DOS 07 Matter of Reich- appraiser, failure to complete continuing education, adequate explanation of problem with on-line course, part of which was beyond her expertise and required additional information, which she procured and then completed the course; complaint dismissed

636 DOS 08 Matter of Stupak – salesperson renewal; criminal conviction; federal felony, illegal remunerations; certificate of relief from civil disabilities; little reason to believe will engage in future misconduct; license granted

2 DOS 09 Matter of Shane – dismissal of charge of breach of fiduciary duty by misleading as to duration of listing; denial of motion to conform pleading to the proof to change overpricing of listing; doing business under unlicensed name RPL 441(1)(a); no misrepresentation to public; attorney advice in connection with dissolution; reprimand

394 DOS 09 Matter of Caddle – appraiser assistant; CE: good faith mistake; illness and hardship; no public harm; complaint dismissed

38 DOS APP 09 Matter of Sarasky – failure to implement prior consent order; ALJ fine $1,500; appeal; request to reopen; medical evidence does not establish inability to request adjournment; failure to present agency disclosure form; failure to pay consent order does not establish public harm; application for extension of time to pay; only one violation sustained; $700 fine

Featured Content

First quarter Legal Lines now available

The first quarter 2018 edition of NYSAR’s Legal Lines is now available online at NYSAR.com. This edition covers commission issues, a New York State Supreme Court ruling on unsigned letters not creating a contract, support animals and more. Learn more

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