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Legal Counsel Compendium

Compiled by the Law Offices of Michael T. Wallender, NYSAR Counsel

The following is a compilation of New York State Department of State Declaratory Rulings and Opinions and New York State Appellate Court decisions affecting the operation of a REALTOR's office and manner of representing both buyers and sellers.

Index of Current Regulatory Decisions

A. LICENSE REQUIREMENTS:

1. Apartment Information Vendors
1A. Appraisers
2. Approval to Provide Continuing Education Courses
3. Attorneys 
4. Auctions 
5. Business Brokers 
6. Commercial Property 
7. Condominiums and Cooperatives 
8. Corporations 
9. Electronic Data Bases
10. Financial Analysis and Mortgage Brokers
11. Finder
12. Full Time Employees
13. Individual Licensee Acting in Association with Corporate Licensee
14. Mortgage Lenders/Brokers
15. Negotiating Mortgage Loan 
16. Notary Public 
17. Partnerships 
18. Personal Assistants 
19. Phone Advice ("900" Number) 
20. Power of Attorney 
21. Property Management and Rentals
22. Purchase and Sale of Mortgages and Securities 
23. Receptionists
24. Referral Fees/Out of State Broker
25. Salesperson Sponsorship by Broker
26. Sales Trainee
27. Staff Leasing

B. QUALIFYING EXPERIENCE:

1. General Principle
2. Prior Misconduct 
3. Proof of Qualifying Experience
4. Specific Examples

C. RENEWAL OF LICENSE:

1. General Principle

D. AGENCY RELATIONSHIPS:

1. Buyer's Broker 
2. Disclosure of Agency Relationships
3. Dual Agency
4. Independent Contractors

E. DISCIPLINARY OFFENSES:

1. Absence of Harm to Public
2. Accounting to Client 
3. Acknowledgments
4. Advertising 
5. Arbitration 
6. Availing of License
7. Bad Check
8. Binders
9. Blockbusting 
10. Building Code/Certificate of Occupancy/Zoning 
11. Business Cards 
12. Cease-and-Desist 
13. Commission Issues/Anti-Kickback Decisions 
14. Compliance with Seller Preferences as to Purchaser/Discrimination
15. Deposits 
16. Disclosure of Conditions Affecting the Value or Desirability of Listed Premises
17. Disclosure of Ownership Interest 
18. Duty to Supervise Sales Associates 
19. Failure to Pay Judgment 
20. Failure to Qualify Purchaser 
21. Failure to Investigate Legality of Rental 
22. Family Court Support Orders 
23. Forgery 
24. Fraudulent Act v. Fraudulent Practices 
25. Handling of Simultaneous and Dependent Transactions ("Buy and Sell" or "Sell to Another Seller Client") 
26. Handling of Subsequent Offers
27. Housing Discrimination 
28. Inadvertent Violation
29. Incompetency v. Untrustworthiness 
30. Licensee Purchase of Listed Property 
31. Listing Agreements 
32. Loan from Client
33. Lock Boxes
34. Material Misstatement on Application
35. Mortgage Applications
36. Multiple Listing Services
37. Notarization
38. Non-Solicitation
39. Offers of Mitigation/Restitution
40. Promotions
41. Proper Business Practices
42. Reliance on Attorney Advice
43. Relocation of Office
44. Rental/Sale of Property Owned by Broker
45. Sales Associate as Officer of Company
46. Sales Associate Receives Compensation from Other than Broker 
47. Signs
48. Steering
49 Submission Offer from Buyer's Broker
50. Unauthorized Practice of Law
51. Unearned Commissions 
52. Unemployment Insurance
53. Unlicensed Activity
54. Vicarious Liability

F. PROCEDURAL MATTERS:

1. Adjournments 
2. Administrative Appeals 
3. Alford Plea; Nolo Contendere 
4. Amendment of Complaint 
5. Amendment of pleading to conform to the proof 
6. Automatic Revocation Upon Felony Conviction 
7. Automatic Suspension Upon Relocation of Office Without Notice 
8. Bankruptcy 
9. Collateral estoppel
10. Consolidation of hearings 
11. Continuance/Adjournment 
12. Cooperation with DOS Investigation 
13. Disclosure of Witnesses and Documentary Evidence
14. Dismissal of Charges Due to Laches 
15. DOS Fails its Burden of Proof 
16. Due Process 
17. Expiration of License Prior to Hearing 
18. Evidence of "qualifying" experience 
19. Failure to Appear at Hearing 
20. Failure to Call Material Witness - Unfavorable Inference 
21. Failure to Cooperate with DOS Investigation 
22. Failure to Pay Fine 
23. Fraud in Procurement of License
23A. Hearsay
24. Initiation of New Proceeding Regarding Uncharged Violation 
25. Interests of Justice 
26. Interim Order Suspending License Pending Completion of Hearing 
27. Joint Motion for Dismissal of Complaint Without Prejudice 
28. Jurisdiction 
29. Modification of penalties
30. Motion to Dismiss at Conclusion of DOS Case 
31. Notice of Proceedings 
32. Order to Show Cause 
33. Pre-Hearing Motions 
34. Post-Hearing submissions 
35. Rejection of Entire Testimony 
36. Reopening/reconsideration
36A. Res Judicata 
37. Restitution 
38. Sanctions 
39. Service of Process 
40. Settlements
41. Severance 
42. Statute of Limitations 
43. Stay of Proceedings 
44. Substantial Evidence 
45. Subpoenas 
46. Supplemental Complaint 
47. Surrender of License 
48. Suspension 
49. Translator

II. INDEX OF CURRENT NEW YORK APPELLATE DECISIONS (1/00)

A. AGREEMENT WITH SALES ASSOCIATES

B. ARBITRATION

C. BREACH OF FIDUCIARY DUTY

D. COMMISSION DISPUTES

E. DISCIPLINARY PROCEEDINGS

F. DUTY TO DISCLOSE

G. FINDER

H. INTELLECTUAL PROPERTY RIGHTS

I. LANDLORD TENANT

J. LISTING AGREEMENTS

K. PURCHASE AND SALE CONTRACTS

L. RESPONDENT SUPERIOR

M. SANCTIONS

N. STATUTE OF FRAUDS

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