2. Approval to Provide Continuing Education Courses

CRC #410 Matter of Ashrey, Consent Order - false application for renewal of real estate course approval (fails to disclose applicant is licensed broker); fine of $3,000 and 1-month suspension of approval to conduct real estate continuing education courses

133 DOS 05 Matter of Flanagan - failure to appear at hearing; prior misconduct; DOS denies application for licensure based upon Federal court indictment; failure to appear at hearing deemed to be a withdrawal of request for hearing; application for salesperson’s license denied

213 DOS 05 DOS v. Jennemann - automatic revocation upon felony conviction; prior misconduct; broker convicted of a disqualifying criminal offense - class C felony, manslaughter 2nd degree; broker has not obtained an executive pardon, a certificate of good conduct or a certificate of relief from disabilities; broker statutorily barred from being licensed as a real estate broker; real estate broker’s licensed revoked

333 DOS 05 Matter of Edwards - prior misconduct; failure to appear at hearing; DOS proposed to deny applicant’s license as a real estate salesperson based upon felony convictions of forgery and filing a false instrument; applicant was granted a certificate of relief from disabilities; applicant’s failure to appear at hearing is deemed a withdrawal of her request for a hearing; application for a real estate salesperson’s license denied

412 DOS 05 Matter of Rinaldi - prior misconduct; direct relationship exists between the essential elements of criminal convictions ( felonies of scheme to defraud and criminal possession of a forged instrument) and duties as a real estate broker; risk sufficiently attenuated where four year duration of time lapsed since applicant committed the criminal offenses, applicant’s post conviction behavior evidences rehabilitation and supports the presumption raised by the certificate of relief from disabilities issued to applicant; application for license as a real estate broker granted

510 DOS 05 Matter of Edwards - failure to appear at hearing; prior misconduct; re-opening; matter re-opened on request for new hearing based upon failure to receive notice of hearing; ex parte hearing may proceed upon proof of prior service; failure to appear twice after timely request for hearing deemed a withdrawal of the request for a hearing; proposed denial based upon felony convictions is final

541 DOS 05 DOS v. Capone - failure to appear at hearing; re-opening; prior misconduct; salesperson failed to timely execute and return settlement agreement, the offer of settlement was withdrawn and matter noticed for re-opening; salesperson was convicted of conspiring to collect extensions of credit by extortionate means, a federal felony; federal felony conviction, absent an executive pardon or certificate of good conduct or relief from disabilities, creates and absolute bar to licensure; salesperson’s license revoked

589 DOS 05 DOS v. Duval - appraisers; prior misconduct; failure to cooperate with DOS investigation; material misstatement on application; attorneys; broker failed to disclose on renewal application that he was disbarred from the practice of law; broker, as certified residential real estate appraiser, prepared appraisal reports which were inaccurate and misleading; DOS fails to prove failure to cooperate as charges of failure to cooperate related to broker’s conduct as a real estate appraiser and there are no equivalent provisions in the Executive Law, Article 6-e which govern the licensure and registration of real estate appraisers requiring such cooperation; broker’s license and certification as a residential real estate appraiser revoked

600 DOS 05 Matter of Bell - attorneys; prior misconduct; matter remanded for a new hearing after decision on default was appealed; DOS proposes denial of broker’s renewal application where broker’s license was initially issued on the basis of his status as an attorney and where applicant resigned as an attorney and counselor of law, thereby resulting in his disbarment; applicant’s resignation and disbarment resulted from his failure to properly supervise his attorney’s escrow account, which was in the control of his son who had an undisclosed gambling problem; applicant suffered a major loss due to his prior banking procedure and now maintains full control of his bank accounts and recognizes the need to be scrupulous in that regard; based upon high unlikelihood that applicant will ever allow the misuse of an escrow account to occur again, broker’s license granted

629 DOS 05 Matter of Levy - attorneys; prior misconduct; DOS proposes to deny application to renew broker’s license where applicant was suspended from the bar as an attorney resulting from applicant’s handling of funds in an IOLA account by failing to maintain accurate bookkeeping records; substantial evidence sufficiently attenuates any risk where two years have passed since applicant’s misconduct and applicant has engaged in real estate brokerage activities since then without complaint and without any misconduct; application for broker’s license renewal is granted

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Fourth quarter Legal Lines now available

The fourth quarter 2019 edition of NYSAR’s Legal Lines is now available online at This edition covers new DOS proposed regulations, emotional support animals in housing, Landlord discrimination and more. Learn more