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21. Failure to Cooperate with DOS Investigation

CRC #286 Matter of DOS v. Rotonde, Consent Order - failure to respond to DOS investigator's inquiry as required by RPL §442-e; $1,000

42 DOS 93 Matter of DOS v. Larson - failure to post broker's license, failure to timely file change of association card; use of unlicensed name; refusal to show requested documents; $1,000 fine; dismissal of unlicensed branch office charge (2 offices, DOS failed to show which was main office)

60 DOS 93 Matter of DOS v. Bon Chateau Realty - no failure to maintain escrow account where client funds on deposit; may maintain un-negotiable check "in escrow" in accordance with agreement of parties; slight variation between licensed name and name utilized in business; company responsible for actions of representative broker

125 DOS 93 Matter of DOS v. Domovsky - DOS investigation spot checking for RPL §443 compliance, asks broker's son (who was licensee not affiliated with the office, but merely covering in his mother's absence) about use of disclosure notices and to see files; RPL §443 does not apply to apartment house with more than 4 units; charge of failure to use RPL §443 notice and failure to cooperate in investigation dismissed; no proof of demand for records per RPL §442-e(5) of a licensee affiliated with the respondent; no proof of vicarious liability under RPL §442-c

47 DOS 94 Matter of DOS v. Carroll - DOS jurisdiction after expiration of license if applicant for renewal or eligible to automatically renew under two-year provision of RPL §441(2); salesperson who sues client for commission violates RPL §442-a; failure to cooperate with investigator violates RPL §442-e(5)

Consent Order 95-0479, Matter of DOS v. Heckman - acting as dual agent in regulated transaction without the informed consent of both principals; failure to cooperate with investigation; misleading DOS investigation; $1,000 fine and three-month suspension

139 DOS 97 Matter of DOS v. Martin - hearing may proceed ex parte as service of notice of hearing is sufficient where it is mailed to respondent’s last known business address by certified mail; broker not guilty of failing to cooperate with DOS investigation where broker’s statement that documents had been misplaced was unrefuted; providing false information to investigators violates RPL §442-e(5); broker allows unlicensed wife to act as real estate salesperson; broker not held to violate agency disclosure provisions of RPL §443 where DOS fails to establish property was a one-to-four family dwelling; broker violates 19 NYCRR 175.7 by failing to disclose to the parties whom he was representing; broker did not violate 19 NYCRR 175.7 when he accepted two commissions in the same transaction, from tenant and DSS on behalf of tenant, because DSS was not a party to the transaction; broker retained an unearned commission when paid same commission by tenant and DSS and refused to return commission to tenant; four months’ license suspension and forfeiture of both commissions with interest

290 DOS 97 Matter of DOS v. Balram - proof of qualifying experience; material misstatement on application; failure to cooperate with DOS investigation; RPL §441(3)(a) applies to all renewal applications for a real estate license for any license period commencing November 1, 1995 and thereafter; falsely stating in an application to renew a salesperson’s license that the continuing education requirement has been completed is a material misstatement; applicant’s affirmation on renewal application establishes intent to mislead DOS; DOS fails to prove that licensee had actual or implied knowledge of DOS’s requests for information and fails to establish violation of RPL §442-e(5); licensee failed to timely comply with the real estate salesperson’s continuing education requirement; two months license suspension

294 DOS 97 Matter of DOS v. Greene - proof of qualifying experience; material misstatement on application; failure to cooperate with DOS investigation; RPL §441(3)(a) applies to all renewal applications for a real estate license for any license period commencing after November 1, 1995; applicant incorrectly stated on renewal application that he had completed required continuing education course as he mistakenly believed that a real estate computer course satisfied the statutory requirement; DOS fails to prove licensee refused or failed to cooperate with an investigation as it fails to prove licensee had actual or implied knowledge of DOS’s requests; applicant failed to comply with the continuing education requirements of RPL §441(3)(a); salesperson’s license revoked

307 DOS 97 Matter of DOS v. Richards - proof of qualifying experience; material misstatement on application;applicant violates RPL §442-e(5) for failure to cooperate with DOS investigation; DOS fails to establish applicant’s failure to comply with continuing education requirement as a result of applicant’s failure to cooperate in answering DOS questions or appearing at hearings; fact that applicant may have been wrongfully licensed for a substantial period of time is taken into consideration in determining penalty; salesperson’s license suspended until such time as proof is submitted that applicant satisfactorily completed the requisite approved continuing education courses; in the event applicant had not completed continuing education requirements timely, license further suspended for a period of time equal to the amount of time prior to the issuance of order of suspension that applicant was improperly licensed plus two months

316 DOS 97 Matter of DOS v. Anderson - proof of qualifying experience; failure to cooperate with DOS investigation; due process; failure to appear at hearing; hearing may proceed ex parte where there is proof of proper notice of hearing; applicant fails to complete the required continuing education course; applicant’s refusal or failure to submit requested materials constitutes violation to cooperate (RPL §442-e(5)) where licensee has knowledge (actual or implied) of DOS’s request and refuses or fails to comply; DOS fails to prove respondent had actual or implied notice of DOS’s requests; salesperson’s license revoked

190 DOS 98 Matter of DOS v. Annunziata -- due process; DOS fails its burden of proof; failure to appear at hearing; failure to cooperate with DOS investigation; proof of qualifying experience; ex parte hearing may proceed upon proof of proper service; DOS fails its burden of proof that licensee failed to meet continuing education requirement where licensee’s renewal application indicated that the requirement was met and licensee failed to appear at hearing; licensee failed to cooperate with DOS investigation by failing to respond to audit letter and to appear and provide proof of continuing education requirements; salesperson’s license suspended until such time as proof submitted of satisfactory completion of continuing education requirements; additional suspension equal to the amount of time, if any, improperly licensed plus two months

199 DOS 98 Matter of DOS v. Wheeler -- due process; failure to appear at hearing; failure to cooperate with DOS investigation; deposits; proper business practices; ex parte hearing may proceed upon proof of proper service; broker improperly conducted business under name other than that on his licensed as evidenced by signs indicating a different name; broker fails to provide agency disclosure form to buyer prior to entering into agency relationship; broker failed to deliver duplicate original of instrument to client; broker commingled funds by depositing deposit check into operating account; untrustworthiness demonstrated by failure to return deposit when offer not accepted; failure to comply with DOS investigation; broker’s license revoked

208 DOS 98 Matter of DOS v. LaBella -- failure to appear at hearing; failure to cooperate with DOS investigation; proof of qualifying experience; licensee failed to cooperate with DOS investigation by not responding to demands to prove continuing education requirements met; salesperson’s license suspended until licensee presents proof of compliance with continuing education requirements

209 DOS 98 Matter of DOS v. Velardi -- due process; failure to appear at hearing; failure to cooperate with DOS investigation; proof of qualifying experience; ex parte hearing permissible upon proof of proper service; licensee failed to cooperate with DOS investigation by failing or refusing to provide material information regarding continuing education requirements; salesperson’s license suspended until proof presented of satisfactory completion of continuing education requirements

210 DOS 98 Matter of DOS v. Renna -- due process; failure to appear at hearing; failure to cooperate with DOS investigation; proof of qualifying experience; ex parte hearing permissible upon proof of proper service; licensee failed to cooperate with DOS investigation by failing or refusing to provide material information regarding continuing education requirements; salesperson’s license suspended until proof presented of satisfactory completion of continuing education requirements

234 DOS 98 Matter of DOS v. Thomas -- due process; failure to appear at hearing; failure to cooperate with DOS investigation; proof of qualifying experience; ex parte hearing may proceed upon proof of proper service; license renewal improper where applicant indicated on application that she had not completed the continuing education requirements; DOS failed to prove that respondent did not cooperate in DOS investigation; salesperson’s license revoked

237 DOS 98 Matter of DOS v. Harris -- due process; failure to appear at hearing; jurisdiction; vicarious liability; collateral estoppel; ex parte hearing may proceed upon proof of proper service; DOS retains jurisdiction of a licensee after expiration or surrender of a license where alleged acts occurred while broker was licensed and were within two-year automatic renewal period; refusal to refund unearned commission; broker is obligated to supervise brokerage activities of salespersons and is vicariously liable for the misconduct of its salespersons, limited only with regard to penalty in cases where the broker lacked actual knowledge of misconduct or did not retain any benefit derived from the misconduct; DOS estopped from complaining that broker commingled commissions as issue was determined in prior proceeding and found not have occurred; relicensure by broker or salesperson conditioned upon payment of $1,000 fine and proof that unearned commissions were refunded with interest

250 DOS 98 Matter of DOS v. Kay -- proof of qualifying experience; DOS fails its burden of proof; failure to cooperate with DOS investigation; failure to appear at hearing; DOS fails to prove that applicant did not meet the continuing education requirements where the applicant did not appear at the hearing and DOS presented no proof of the applicant’s failure; applicant failed to cooperate with DOS investigation by not responding to the continuing education audit letter; salesperson’s license suspended until proof provided of completion of continuing education requirement; additional suspension for a period of time, if any, equal to the amount of time improperly licensed plus 2 months

256 DOS 98 Matter of DOS v. Neracker -- proof of qualifying experience; failure to appear at hearing; failure to cooperate with DOS investigation; applicant failed to cooperate with DOS investigation by not timely responding to continuing education audit letter and by failing to appear at conference; license wrongfully renewed upon false statement in application that applicant complied with continuing education requirements; salesperson’s license suspended for a period of 21 months after receipt by DOS of applicant’s license and until such time as applicant submits application for renewal and documentary proof of compliance with the continuing education requirements

258 DOS 98 Matter of DOS v. Rayane -- failure to appear at hearing; failure to cooperate with DOS investigation; proof of qualifying experience; license improperly renewed; applicant fails to respond to DOS audit letters; applicant did not comply with continuing education requirements; salesperson’s license revoked

264 DOS 98 Matter of DOS v. Maiuzzo -- failure to appear at hearing; proof of qualifying experience; failure to cooperate with DOS investigation; applicant failed to comply with DOS audit letter requests to establish continuing education requirements; DOS fails to prove applicant failed to meet continuing education requirements where applicant failed to appear at hearing and DOS provided no proof that applicant failed to meet the continuing education requirements; broker’s license suspended until such time as applicant submits satisfactory proof of completion of continuing education requirements; suspension for such period of time, if any, that applicant was improperly licensed plus 2 months

293 DOS 98 Matter of DOS v. Desjardin -- proof of qualifying experience; failure to cooperate with DOS investigation; applicant failed to comply with continuing education requirements; applicant failed to comply with DOS audit requests to establish continuing education requirements; broker’s license revoked

294 DOS 98 Matter of DOS v. Ansan Realty Corp. -- vicarious liability; subpoena; failure to cooperate with DOS investigation; representative real estate broker implicitly implied that a corporation was lawfully constituted when filed applications for renewal of broker’s license after corporation had been dissolved by proclamation; failure to comply with subpoena duces tecum; subpoena is to be served in the same manner as summons; corporate real estate broker is charged with actual knowledge of representative broker’s unlawful acts and is vicariously liable for the representative broker’s cognizant misconduct; corporate broker and representative broker’s licenses revoked

296 DOS 98 Matter of DOS v. Blessinger -- proof of qualifying experience; failure to appear at hearing; failure to cooperate with DOS investigation; applicant failed to respond to DOS audit letters thereby failing to cooperate with DOS investigation; salesperson’s license suspended until such time as proof is provided of compliance with continuing education requirements

122 DOS 98 Matter of DOS v. Hazor -- proper business practices; sales associate as officer of company; corporate broker dissolved by proclamation may only carry on business required for winding up its affairs; engaging in licensed activity and submitting license renewals after dissolution by proclamation constitutes fraudulent practices; failure to comply with DOS request to appear and for production of documents along with failure to comply with subpoena violates RPL §442-e (5); licensed salesperson violates RPL §441-b(2) when he serves as an officer of the corporation; brokers and salesperson’s licenses revoked

143 DOS 98 Matter of DOS v. Badescu -- due process; failure to appear at hearing; failure to cooperate with DOS investigation; proof of qualifying experience; ex parte hearing is permissible upon proof of proper notice of hearing; salesperson fails to comply with continuing education requirements; licensee did not refuse or fail to cooperate with DOS investigation where licensee did not appear before DOS and supply information regarding completion of continuing education requirements when licensee previously informed DOS in writing that he had not completed the requirements; salesperson’s license revoked

144 DOS 98 Matter of DOS v. Merchant -- due process; failure to appear at hearing; failure to cooperate with DOS investigation; proof of qualifying experience; licensee failed to cooperate with DOS investigation by not responding to DOS request to prove compliance with continuing education requirements; DOS fails to prove non-fulfillment of the continuing education requirement; salesperson’s license suspended until proof provided to DOS that she has complied with the continuing education requirement

148 DOS 98 Matter of DOS v. Vergara -- due process; failure to appear at hearing; failure to cooperate with DOS investigation; DOS fails its burden of proof; proof of qualifying experience; salesperson fails to comply with DOS investigation when failed to cooperate with DOS requests for information regarding education requirement; DOS failed to prove non-fulfillment of continuing education requirement where licensee affirmed under penalty of perjury that she completed the continuing education requirement; salesperson’s license suspended until licensee provides proof that she has completed the continuing education requirement

149 DOS 98 Matter of DOS v. Lise -- due process; failure to appear at hearing; failure to cooperate with DOS investigation; DOS fails its burden of proof; proof of qualifying experience; salesperson fails to comply with DOS investigation when failed to cooperate with DOS requests for information regarding education requirement; DOS failed to prove non-fulfillment of continuing education requirement where licensee affirmed under penalty of perjury that she completed the continuing education requirement; salesperson’s license suspended until licensee provides proof that she has completed the continuing education requirement

156 DOS 98 Matter of DOS v. Castellano -- due process; failure to appear at hearing; failure to cooperate with DOS investigation; DOS fails its burden of proof; proof of qualifying experience; salesperson fails to comply with DOS investigation when failed or refused to cooperate with DOS requests for information regarding education requirements; DOS failed to prove non-fulfillment of continuing education requirements where licensee affirmed under penalty of perjury that she completed the continuing education requirements; salesperson’s license suspended until licensee provides proof that she has completed the continuing education requirements

4 DOS 99 Matter of DOS v. Aronson - due process; failure to appear at hearing; failure to cooperate with DOS investigation; proof of qualifying experience; salesperson fails to comply with DOS investigation when she failed or refused to cooperate with DOS’s request for information regarding education requirements; salesperson’s license suspended until licensee provides proof that she has completed the continuing education requirements

6 DOS 99 Matter of DOS v. Zinkevich - due process; failure to appear at hearing; failure to cooperate with DOS investigation; proof of qualifying experience; salesperson fails to comply with DOS investigation when he failed or refused to cooperate with DOS’s request for information regarding education requirements; salesperson’s license suspended until licensee provides proof that he has completed the continuing education requirements

76 DOS 99 Matter of DOS v. Gomez - failure to appear at hearing; failure to cooperate; proof of qualifying experience; ex parte hearing may proceed upon proof of proper service; licensee failed to comply with continuing education requirements; license renewal was issued in violation of RPL §441(3)(a); licensee failed or refused to cooperate with reasonable requests to either submit proof of compliance with continuing education requirement or to surrender license issued in error; salesperson’s license revoked

78 DOS 99 Matter of DOS v. Jadduroy - failure to appear at hearing; failure to cooperate; proof of qualifying experience; ex parte hearing may proceed upon proof of proper service; licensee failed to comply with continuing education requirements; license renewal was issued in violation of RPL §441(3)(a); licensee failed or refused to cooperate with reasonable request to either submit proof of compliance with continuing education requirement or to surrender license issued in error; salesperson’s license revoked

97 DOS 99 Matter of DOS v. Majestic - failure to appear at hearing; failure to cooperate with DOS investigation; proof of qualifying experience; settlement; ex parte hearing may proceed upon proof of proper service; licensee previously entered into two consent agreements with DOS stating he had not completed the continuing education requirements, would pay a fine of $500.00 and would provide proof that he completed the continuing education requirements; licensee timely paid the fine but failed to present proof that he had complied with the continuing education requirements; DOS fails to prove that licensee failed or refused to cooperate with an investigation for failure to submit proof of compliance with continuing education requirements; failure to submit proof of compliance with prior consent agreements; salesperson’s license revoked

112 DOS 99 Matter of DOS v. Dorfman - adjournments; proper business practices; failure to appear at hearing; failure to cooperate with DOS investigation; accounting to client; ex parte hearing may proceed upon proof of proper service; individually licensed broker seeking to conduct brokerage business under a name other than his own must apply for a license under such new name; broker engaged in the leasing of real property through an unlicensed corporation; broker failed to cooperate with DOS investigation by failing to respond to DOS letters and telephone calls; complaint alleges broker failed to provide an accounting or copies of records of management for owner’s property; broker may be required to return commissions and fees received which he is not entitled to; $1,000.00 fine and suspension of broker’s license until such time as broker establishes he has fully complied with DOS’s investigation and made a full and satisfactory accounting to owner, shall have paid to owner all money due and owning to him as established by the accounting, with interest, and shall have refunded to owner all commissions and other fees, with interest, paid

CRC #98-2652 Matter of DOS v. Glass, Consent Order - failure to timely cooperate with DOS investigation; $750.00

232 DOS 99 Matter of DOS v. Livingston - due process; deposits; failure to cooperate with DOS investigation; ex parte hearing is permissible upon proof of proper notice of hearing; salesperson violates RPL §440-a by engaging in regulated real estate activity after the death of the broker with whom he was associated; salesperson does not violate 19 NYCRR 175.2, commingling deposits, as regulation does not apply to salespersons, however, such act constitutes untrustworthiness, incompetency and breach of fiduciary duty; issuance of check upon insufficient funds; failure to comply with DOS investigation by failure to provide requested documents which salesperson agreed he would provide; real estate salesperson’s license revoked

292 DOS 99 Matter of DOS v. Simmons - bad check; DOS fails its burden of proof; failure to cooperate with DOS investigation; unearned commissions; mistaken issuance of a bad check is incompetency; DOS fails to establish that broker commingled funds or failed to satisfy a judgment; broker fails to cooperate with DOS investigation by misleading its investigators; DOS must show that broker acted in bad faith to establish retention of an unearned commission as untrustworthiness; $750.00 fine

1 DOS 00 DOS v. Ogunleye - deposit; failure to appear at hearing; jurisdiction; unlicensed activity; ex parte hearing may proceed upon proper notice; DOS retains jurisdiction where the broker was licensed when (i) the disciplinary action was commenced and when the hearing was held, and (ii) when the broker was eligible to automatically renew the prior license; retention of deposit monies after principal demands refund constitutes a larceny and constitutes a fraudulent business practice; $1,000.00 fine

7 DOS 00 DOS v. Flagship Marketing Group - availing of license; failure to cooperate with DOS investigation; jurisdiction; proper business practices; ex parte hearing may proceed upon proof of proper service; DOS retains jurisdiction over party not licensed at the time of the hearing where, at that time the complaint was served, the party was (i) licensed, (ii) an applicant for a license or renewal, or (iii) was eligible to automatically renew; salesperson is prohibited both from owning, directly or indirectly, singly or jointly, any shares of voting stock in and from being an officer of any licensed real estate brokerage corporation with which the salesperson is associated; representative real estate broker availed the corporate broker license to an associated salesperson where the office was operated by the salesperson without the direct supervision of the representative broker and the salesperson conducted business as a broker for his own benefit; representative real estate broker engaged in fraud by availing the corporate real estate broker license to a salesperson; representative broker’s availing of corporate broker’s license for which the corporate broker is vicariously liable; failure to provide business records constitutes failure to cooperate with DOS investigation; DOS fails to establish fraud, ignorance or negligence is not sufficient to prove mistake; pressure, regardless of how severe, is not undue influence; restitution denied where funds sought were received by an entity not named or charged in the complaint; corporate broker fined $3,000.00, representative broker’s license revoked and fined $3,000.00 and salesperson fined $5,000.00

32 DOS 00 Matter of DOS v. Pahl - bad check; forgery; failure to cooperate with DOS investigation; restitution; salesperson commits conversion of funds forging client’s signature to a refund check; issuance of bad check for converted funds; fraudulent business practices; failure to cooperate with DOS investigation by failing to respond to investigator’s request letter; salesperson may be required to return money received to which she is not entitled; salesperson’s license revoked

100 DOS 00 Matter of DOS v. Ricketts - deposits; failure to appear at hearing; failure to cooperate with DOS investigation; vicarious liability; ex parte hearing may proceed upon proof of proper notice; corporate broker is vicariously liable for the cognitional acts of its representative broker; broker violates 19 NYCRR §175.1 by placing purchase deposit in an account which was denominated neither as a special nor as an escrow account; failure to return deposit upon demand; broker commits fraudulent practice by accepting a binder deposit on the pretense that they would then convey the purchasers offer to the seller and then failing to convey the offer and failing to refund the deposit; delivering purchase deposit to seller prior to the execution of a contract for sale; sanction increased where broker agreed to execute consent order and failed to do so; corporate and representative broker’s license suspended for six months (from three months) and refund of purchase deposit in the amount of $4,000

321 DOS 00 DOS v. Kerr - deposits; failure to appear at hearing; failure to pay judgment; disclosure of agency relationships; material misstatement on application; failure to cooperate with DOS investigation; ex parte hearing may proceed upon proper notice; broker fails to provide RPL §443 agency disclosure notice to landlord/client prior to entering into listing agreement; broker commits conversion upon exercising unauthorized right of ownership over rental deposits and payments collected on behalf of principal; failure to satisfy judgment is demonstration of untrustworthiness unless broker presents valid evidence of inability to pay; failure to respond to DOS request letter constitutes failure to cooperate; material misstatement on application by denying prior license suspension; broker’s license revoked

CRC #99-2714 Matter of DOS v. Polizzi, Consent Order - failure to cooperate in a timely matter with DOS investigation; $250.00

377 DOS 00 Matter of DOS v. Poirier - deposits; failure to cooperate with DOS investigation; improperly transferring money out of an escrow account demonstrates untrustworthiness; providing false information to a DOS investigator is a failure to cooperate; broker may be required to return money received to which he is not entitled as a condition of retention of his license; entitlement to deposit subject of litigation; broker’s license revoked, no action on renewal until proof that broker has paid $25,000.00 deposit to one of the parties in accordance with the judgment in their lawsuit

577 DOS 00 DOS v. Raimondo - failure to appear at hearing; proof of qualifying experience; failure to cooperate with DOS investigation; ex parte hearing may proceed upon proof of proper service; licensee failed to comply with continuing education requirements and failed to cooperate with DOS investigation by failing or refusing to respond to DOS audit letter; salesperson’s license revoked

578 DOS 00 DOS v. Pulido - failure to appear at hearing; proof of qualifying experience; failure to cooperate with DOS investigation; ex parte hearing may proceed upon proof of proper service; licensee failed to comply with continuing education requirements and failed to cooperate with DOS investigation by failing or refusing to respond to DOS audit letter; broker’s license revoked

481 DOS 01 DOS v. Harris - deposits; failure to appear at hearing; failure to cooperate with DOS investigation; fraudulent business practice; jurisdiction; notary public; unearned commissions; ex parte hearing may proceed against non-appearing respondent upon proof of proper service; in the absence of an agreement to the contrary, rental broker is entitled to compensation only after procuring a rental agreement between tenant and landlord; broker fails to deposit $950.00 lease deposit in special escrow account; broker commingled funds and converted deposit; broker failed to cooperate with DOS investigation by failing to truthfully answer all questions put to him, by providing DOS with misleading statements and by failing to provide requested documents; providing DOS with untrue and misleading statements indicates broker lacks sufficient honesty to be entrusted with duties of a notary public; DOS fails to prove that broker was unauthorized to show apartment; DOS retains jurisdiction after license expires where renewal may be had merely by submitting application and paying applicable fees; the claim of the right to retain and the retention of an unearned commission is a fraudulent business practice; broker receiving money to which he is not entitled may be required to return it; broker fined $1,000.00 and required to refund $950.00 deposit; broker’s commission as a notary public revoked; charges against non-appearing salesperson dismissed for DOS’s failure to provide proof

481 DOS 01 DOS v. Harris - deposits; failure to appear at hearing; failure to cooperate with DOS investigation; fraudulent business practice; jurisdiction; notary public; unearned commissions; ex parte hearing may proceed against non-appearing respondent upon proof of proper service; in the absence of an agreement to the contrary, rental broker is entitled to compensation only after procuring a rental agreement between tenant and landlord; broker fails to deposit $950.00 lease deposit in special escrow account; broker commingled funds and converted deposit; broker failed to cooperate with DOS investigation by failing to truthfully answer all questions put to him, by providing DOS with misleading statements and by failing to provide requested documents; providing DOS with untrue and misleading statements indicates broker lacks sufficient honesty to be entrusted with duties of a notary public; DOS fails to prove that broker was unauthorized to show apartment; DOS retains jurisdiction after license expires where renewal may be had merely by submitting application and paying applicable fees; the claim of the right to retain and the retention of an unearned commission is a fraudulent business practice; broker receiving money to which he is not entitled may be required to return it; broker fined $1,000.00 and required to refund $950.00 deposit; broker’s commission as a notary public revoked; charges against non-appearing salesperson dismissed for DOS’s failure to provide proof

594 DOS 01 DOS v. Walker - deposits; failure to appear at hearing; failure to pay judgment; failure to cooperate with DOS investigation; notary public; proper business practices; broker commingles funds by placing deposits in operating account; broker allows escrow account to be overdrawn on numerous occasions; broker uses deposit for separate, unrelated business investment; broker fails to pay judgment without presenting an explanation or excuse for failure to pay judgment; broker fails to cooperate with DOS investigation by failing to respond to and comply with letter directing him to appear for a conference and to provide certain documents; broker fails to notify DOS of new address upon closing office; DOS fails to prove that salesperson improperly held herself out to be real estate broker associated with corporate broker, that the broker made misrepresentations to the purchasers regarding payments they were required to make toward the purchase, that some checks were returned for insufficient funds, that the broker failed to make certain required payments, that the broker properly failed to make certain other deposits and that the broker gave a postdated deposit check which could not be cashed due to insufficient funds; representative broker’s and corporate broker’s licenses revoked, return of deposits in the amount of $400.00 and $3,173.83 ordered with interest, civil judgment to be fully satisfied; salesperson fined $1,000.00 and notary commission suspended for four months

663 DOS 01 Matter of DOS v. Connelly - proof of qualifying experience; failure to appear at hearing; failure to cooperate with DOS investigation; ex parte hearing may proceed upon proof of proper service; salesperson obtained license renewal by falsely stating he had completed the required continuing education courses; salespersons license revoked

664 DOS 01 Matter of DOS v. Reitz - proof of qualifying experience; failure to appear at hearing; failure to cooperate with DOS investigation; ex parte hearing may proceed upon proof of proper service; salesperson obtained license renewal by falsely stating he had completed the required continuing education courses; salespersons license revoked

823 DOS 01 Matter of DOS v. Ariola - failure to appear at hearing; proof of experience; failure to cooperate with DOS investigation; ex parte hearing may proceed upon proof of proper service; salesperson procures license renewal by falsely stating that he completed the required continuing education courses; salesperson ignored DOS’s request to cooperate with audit investigation and provide proof of completion of continuing education courses; DOS presents no proof of respondent’s failure to complete the required courses; salesperson may have been wrongfully licensed for a substantial period of time; salesperson’s license suspended until she submits proof of completion of the continuing education courses and upon submission, if it appears that salesperson has not yet completed the courses, her license shall be suspended for a period equal to the amount of time she was improperly licensed plus two months

865 DOS 01 Matter of DOS v. Dotson - failure to appear at hearing; proof of qualifying experience; failure to cooperate with DOS investigation; ex parte hearing may proceed upon proof of proper service; DOS fails its burden of proof to establish salesperson has not complied with continuing education requirements; salesperson failed to cooperate with DOS investigation by ignoring its request to comply with continuing education audit; salespersons license revoked

921 DOS 01 DOS v. Greenberg - disclosure of agency relationships; failure to cooperate with DOS investigation; deposits; DOS fails its burden of proof; failure to appear at hearing; ex parte hearing may proceed upon proof of proper service; DOS fails to establish broker commingled client’s funds where all rent deposits were made into owner’s bank account even though some rents were purportedly deposited late; broker breaches duty of reasonable care, skill, diligence and judgment in negligently performing contractual obligations pursuant to a management agreement in keeping units rented to desirable tenants, diligently collecting rents and rendering timely monthly reports; DOS fails to prove broker engaged in fraud and fraudulent practices; broker fails to provide agency disclosure form to client; brokers license revoked

104 DOS 02 DOS v. Barnett - disclosure of agency relationships; failure to cooperate with DOS investigation; unearned commissions; unlicensed activity; broker failed to provide agency disclosure form to landlord/client and prospective tenant; broker demanded and received a security deposit and a commission contingent upon approval of rental accommodation by HUD and commingled and converted said sums when approval was not obtained; broker makes false statements during DOS investigations; broker engaged in a regulated real estate transaction under an unlicensed name; broker failed to comply with negotiated settlement terms to refund $2,100, pay $500 fine and execute consent order; restitution ordered in the amount of $2,100, $500 fine; brokers license suspended until proof of compliance

202 DOS 02 Matter of DOS v. Frazier - failure to appear at hearing; proof of qualifying experience; failure to cooperate with DOS investigation; ex parte hearing may proceed upon proof of proper service; respondent ignored DOS request to cooperate with its audit investigation of his continuing education courses; DOS failed to establish respondent had not complied with continuing education requirement; salespersons license revoked

262 DOS 02 Matter of DOS v. Barley - failure to appear at hearing; proof of qualifying experience; failure to cooperate with DOS investigation; ex parte hearing may proceed upon proof of proper service; respondent ignored DOS’s request to cooperate with its audit of his application and to provide proof that he had completed the continuing education courses; DOS failed to establish that respondent did not comply with continuing education requirements; real estate salespersons license revoked

310 DOS 02 Matter of DOS v. Griffith - failure to appear at hearing; proof of qualifying experience; failure to cooperate with DOS investigation; ex parte hearing may proceed upon proof of proper service; respondent ignored DOS’s request to cooperate with its audit investigation of his application and to provide proof that he had completed the continuing education requirements; DOS failed to establish that respondent had not complied with the continuing education requirements; salespersons license revoked

311 DOS 02 Matter of DOS v. Frazier - failure to appear at hearing; proof of qualifying experience; failure to cooperate with DOS investigation; ex parte hearing may proceed upon proof of proper service; respondent ignored DOS’s request to cooperate with its audit investigation of his application and to provide proof that he had completed the continuing education requirements; DOS failed to establish that respondent had not complied with the continuing education requirements; salespersons license revoked

719 DOS 02 DOS v. Silverstein – failure to appear at hearing; failure to cooperate with DOS investigation; ex partehearing may proceed upon proof of proper service; broker fails to submit documents material to DOS investigation and fails to offer any explanation why the documents requested were not submitted; corporate broker’s license and representative broker’s licenses are suspended until such time as they have fully complied with DOS’s information request

721 DOS 02 DOS v. Kennedy – failure to appear at hearing; failure to cooperate with DOS investigation; ex partehearing may proceed upon proof of proper service; salesperson failed to respond to DOS’s request for documents material to an investigation and failed to offer any explanation why the documents requested were not submitted; salesperson’s license suspended until such time as salesperson has fully complied with DOS’s information request

744 DOS 02 DOS v. Agard – attorney; notary public; failure to appear at hearing; failure to cooperate with DOS investigation; ex parte hearing may proceed upon proof of proper service; notary public acts unlawfully when he notarizes a document without the purported signatory being present; broker fails to respond to two DOS letter requests to appear for an interview; notary public commission and license as a real estate broker revoked

786 DOS 02 DOS v. Ortiz – failure to appear at hearing; failure to cooperate with DOS investigation; prior misconduct; salesperson fails to submit documents material to DOS investigation regarding felony conviction; felony conviction is statutory bar to licensure; salespersons license revoked

861 DOS 02 DOS v. Birch – bad check; disclosure of agency relationships; deposits; failure to appear at hearing; failure to cooperate with DOS investigation; proper business practices; vicarious liability; ex parte hearing may proceed upon proof of proper service; broker was directed to hold deposit check until offer was accepted and by depositing check without the offer having been accepted she breached her fiduciary duties; broker issued bad checks drawn on her escrow account; broker commingled funds by not withdrawing her earned commissions from escrow account promptly and allowing the money to remain in the account; broker failed to cooperate with DOS investigation by responding to document requests; broker operated business at an unlicensed address; corporate broker is responsible for the acts of its representative broker; broker fails to deal honestly and fairly by failing to advise purchaser that her offer had been accepted by only one of two owners of the property; corporate broker’s and representative broker’s licenses revoked; salesperson fined $1,000.00

920 DOS 02 DOS v. Simmons – failure to appear at hearing; proper business practices; failure to cooperate with DOS investigation; jurisdiction; ex parte hearing may proceed upon proof of proper service; DOS has jurisdiction after license has expired where conduct occurred while individual was licensed; broker does not file termination of association forms when salespersons cease working for him; broker fails to supply documents or appear for interview after DOS requests; broker fails to cooperate by making false statements to DOS investigators; DOS fails its burden of proof; salesperson not liable for return of unearned commission where commission money was already in possession of broker; broker is not entitled to commission for real estate transaction effectuated by a salesman who is not properly licensed in association with that broker; real estate broker’s license revoked and broker ordered to refund $900.00 commission and $40.00 application fee; charges against salesperson are dismissed

179 DOS 03 DOS v. Benjamin – failure to cooperate with DOS investigation; proof of qualifying experience; applicant ignored DOS’ request that she cooperate with its audit of her application and provide proof that applicant completed the continuing education course; DOS fails to establish that applicant has not complied with the continuing education requirements; applicant fails to cooperate with DOS’ audit of her application; salesperson’s license suspended until such time as she shall submit proof satisfactory to DOS that she has completed an approved continuing education course

180 DOS 03 DOS v. Manning-Weiss – failure to cooperate with DOS investigation; proof of qualifying experience; applicant ignored DOS’ request that she cooperate with its audit of her application and provide proof that applicant completed the continuing education course; DOS fails to establish that applicant has not complied with the continuing education requirements; applicant fails to cooperate with DOS’ audit of her application; salesperson’s license suspended until such time as she shall submit proof satisfactory to DOS that she has completed an approved continuing education course

184 DOS 03 DOS v. Alexander – failure to cooperate with DOS investigation; proof of qualifying experience; salesperson ignored DOS’ request that he cooperate with its audit of his application and provide proof that he had completed the continuing education course; DOS fails to establish that salesperson has not complied with the continuing education requirement; salesperson’s license suspended until such time as he submits proof satisfactory to DOS that he has satisfactorily completed an approved continuing education course

185 DOS 03 DOS v. Freeman – DOS fails its burden of proof; notarization; failure to cooperate with DOS investigation; DOS fails to prove that broker authorized or permitted the use of either his notary stamp or his signature to take acknowledgments of documents; DOS did not offer evidence of either the investigator’s notes usually taken during the interview or the written investigative report usually made just after the interview; broker failed to cooperate with DOS investigation by failing to respond to investigator’s request for a written statement of information orally supplied to investigator which broker purportedly promised to provide; broker admonished

212 DOS 03 DOS v. Brandman – failure to cooperate with DOS investigation; failure to pay judgment; DOS fails its burden of proof; DOS fails to prove that broker failed to cooperate with DOS investigation; broker’s failure to pay judgment lawfully obtained and not overturned or stayed by a court of competent jurisdiction is a demonstration of untrustworthiness unless the broker presents valid evidence of inability to pay; respondent ordered to present proof to DOS that he has fully satisfied judgment; broker fined $1,000

815 DOS 03 Finley v. DOS - failure to cooperate with DOS investigation; material misstatement on application; applicant for license renewal made material misstatement on application by answering “no” to question that inquired about revocation of any license, permit, commission or registration or application when applicant had pistol license suspended and thereafter revoked; applicant’s credible testimony proves that he did not deliberately lie on application as he misinterpreted or misunderstood the question as not relating to real estate activity; nevertheless, applicant signed application and affirmed same under the penalties of perjury; applicant failed to cooperate with DOS investigation when after DOS asked for specific information regarding pistol license revocation and for an affidavit explaining his application, applicant failed to provide any documents, referring DOS to the courts to obtain the documents itself, and stating that he couldn’t provide any further information and therefore would not provide an affidavit; application for brokers license denied

845 DOS 03 DOS v. Delia - disclosure of agency relationships; failure to cooperate with DOS investigation; failure to pay judgment; restitution; broker accepts deposits in two rental transactions and fails to refund deposits when prospective tenants fail to obtain lease with landlord; broker breaches fiduciary duty to tenant/client when he falsely tells tenant/client that he owns house to be rented; broker fails to pay judgment; broker lies to DOS’s investigator thereby breaching his duty to cooperate with DOS investigation; broker maybe ordered to return monies he is not entitled to, including monies that have been transferred by the broker to a third party; broker ordered to refund deposits in the amount $1,600.00 and $1,300.00; as broker’s license lapsed and was not renewed, future application shall be acted upon as if broker’s license had been revoked effective as of date of decision

887 DOS 03 DOS v. Bravo - deposits; disclosure of agency relationships; failure to cooperate with DOS investigation; proper business practices; vicarious liability; broker failed to provide agency disclosure form; broker continued to do business under prior firm’s name after association with that firm had been terminated; broker failed to deposit monies received by her into an escrow account; broker failed to respond to DOS letters; broker demonstrated untrustworthiness and incompetency by failing to follow up on the availability of an apartment in a rental transaction; broker failed to give a cash refund of a deposit received in cash upon tenant’s demand therefore; corporate broker bound by the knowledge acquired by its representative broker; corporate broker’s license and representative broker’s license suspended for six months

960 DOS 03 DOS v. Vazquez - deposits; unlicensed activity; duty to supervise sales associate; failure to cooperate with DOS investigation; failure to pay judgment; sanction; broker fails to reply to DOS’s request for information; broker allows two individuals to work in association with brokerage without being properly licensed; broker fails to pay judgment; broker fails to return rental deposits in two transactions where the rental was not consummated; broker fails to supervise sales associate and is accountable for monies received by salesperson and unaccounted for; in setting penalty, it is proper to consider licensees were found to have availed themselves of improper licensed real estate salespersons and to have retained an unearned commission; corporate broker’s license and representative broker’s license revoked and brokers ordered to pay restitution in the amount $7,725.00 and judgment in the amount $740.37

1018 DOS 03 DOS v. Rasool - deposits; failure to appear at hearing; failure to cooperate with DOS investigation; hearing may proceed upon proof of proper service; broker failed to reply to DOS’s request for information; broker failed to turnover deposit upon client’s entitlement thereto; corporate broker’s license and representative broker’s license revoked

28 DOS 04 DOS v. Montolio - bad check; deposits; failure to cooperate with DOS investigation; broker issues bad check in attempt to refund commission in exchange for withdrawal of complaint; broker intended to induce DOS to renew his license under false pretenses claiming that complaint had been satisfactorily resolved; broker fails to provide documents requested by DOS; broker’s license suspended for one year, ordered to refund $1,300.00

483 DOS 04 Matter of Marte - failure to cooperate with DOS investigation; DOS proposed denial of broker’s license for failure to comply with document requests relative to an on-going investigation; after hearings continued, applicant complied with DOS’s demands; application for renewal of broker’s license granted, broker ordered to pay fine of $1,000.00

861 DOS 04 DOS v. Winiecki - failure to appear at hearing; failure to cooperate with DOS investigation; attempt to illegally enter premises to show rental units to prospective tenants without the property owner’s or building manager’s consent constitutes untrustworthiness and incompetence; ex parte hearing may proceed upon proof of proper service; salesperson failed to cooperate with DOS investigation by failing to respond to requests to attend meetings with DOS; salesperson’s license revoked

993 DOS 04 DOS v. Thompson - failure to cooperate with DOS investigation; DOS fails its burden of proof; DOS failed to prove respondent failed to cooperate with DOS investigation where DOS requested information regarding brokerage activities of a real estate salesperson associated with respondent, respondent replied stating that salesperson did not conduct any business in broker’s office, DOS did not receive broker’s response letter, DOS sent a subsequent letter, broker contacted DOS again and sent a second letter which was never received by DOS’s investigator; complaint dismissed

324 DOS 05 Matter of Jackson - failure to cooperate with DOS investigation; DOS proposes to deny application for associate real estate broker’s license due to failure to cooperate with DOS investigations; DOS made numerous requests of applicant to supply specific information regarding three consumers who filed complaints, each seeking the return of their deposit of $1,000.00 made to broker to effect the purchase of real property; broker testified that she was seriously ill during the time of the investigation and that she wrote numerous letters to DOS explaining that upon her return to the office files were missing that contained the information requested by DOS; broker admits liability for the return of the deposits; application for a license as an associate real estate broker is granted but shall not issue until broker makes restitution of $1,000.00 to each of the three complaining consumers

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

772 DOS 05 DOS v. Silva – unauthorized practice of law; failure to cooperate with DOS investigation; DOS fails it’s burden of proof; DOS fails to establish salesperson engaged in the unauthorized practice of law and breached it’s fiduciary duties by telling prospective tenant that New York State law provides a 48 hour lease cancellation; salesperson agreed to pay landlord $1,850.00 in exchange for release of tenant and thereafter, after landlord issued tenant a release, stopped payment on his check; DOS lacks authority to assess monetary damages; salesperson pursued transaction without the knowledge and assistance of his broker; salesperson provided false information to DOS in the course of it’s investigation; salesperson’s license suspended for one year.

851 DOS 05 DOS v. Jenkins – bad checks; deposits; failure to cooperate with DOS investigation; vicarious liability; broker failed to make refund of deposit money towards a rental of an apartment when the rental was not consummated; broker issued check drawn on her escrow account which was dishonored due to insufficient funds; broker failed to honor her agreement to make good on the dishonored checks; broker failed to cooperate with DOS investigation by failing to respond to DOS’s numerous telephone messages; broker may be required to return money to which it is not entitled; corporate broker bound by the knowledge acquired by and is responsible for the acts committed by it’s representative broker; corporate broker and individual broker fined $2,000.00 and ordered to refund $1,600.00.

863 DOS 05 DOS v. Goberdhan – disclosure of agency relationships; deposits; adjournments; proper business practices; failure to cooperate with DOS investigation; vicarious liability; broker’s request for an adjournment denied where broker appeared at hearing without counsel and for the first time requested an adjournment to obtain counsel; failure to make more timely request was nothing less than dilatory; corporate broker dissolved by proclamation due to nonpayment of taxes; broker failed to provide agency disclosure form to prospective buyer; broker failed to deal honestly with prospective buyer where broker introduced buyer to real property without disclosing that property was subject to foreclosure, had buyer make a deposit on the property without being able to inspect the interior and without knowing what the purchase price would be, told buyer that their money would be placed in an escrow account when no such account existed and by misleading buyer as to the need to have an attorney in the transaction; broker retained $20,000.00 cash deposit without depositing in an escrow account, broker having no such account; broker made numerous misstatements of fact to DOS’s investigator; broker failed to protect the interests of his client, the buyer, by failing to deposit $20,000.00 cash deposit in an escrow or by giving the money to the seller under circumstances in which the interests of the buyer were not properly protected; individual and corporate brokers’ licenses suspended for six months and additionally suspended until such time as broker provides proof of refunding the sum of $20,000.00 plus interest to buyer and corporate broker paying all franchise taxes and penalties due and being reinstated.

873 DOS 05 DOS v. Golan – failure to pay judgment; failure to cooperate with DOS investigation; vicarious liability; corporate broker, through its representative broker, entered into a stipulation of settlement in summary proceeding and failed to comply with the stipulation; judgment granted against corporate broker; corporate broker is responsible for the acts committed by its representative broker within the actual or apparent scope of his authority and, conversely, representative broker is responsible for the conduct of the corporation; judgment not having been satisfied, broker fails to show it was not possible to do so; charge of failure to cooperate with DOS investigation dismissed where none of the documents which were requested existed; brokers fined $250.00.

874 DOS 05 DOS v. Curanaj – disclosure of agency relationships; deposits; failure to cooperate with DOS investigation; signs; proper business practices; charge of failure to present purchaser with agency relationship disclosure form dismissed where evidence established only that purchaser did not recall whether she was presented with such a form; charge of failure to make a prompt refund is dismissed where purchaser did not make such a demand and when demand was made by DOS, it was complied with; broker failed to deposit client funds into segregated escrow account and commingled client’s funds with its own; broker submitted two applications for license renewal for corporate broker which was dissolved by proclamation and therefore nonexistent as a corporation at the time of renewal applications; broker failed to comply with DOS’s written request for information; broker failed to post and maintain a sign on its place of business; tribunal considers brokers’ prior history having previously admitted to mishandling and converting client funds, having failed to cooperate with an investigation and having consented to revocation of their licenses should they be found to have again violated Article 12-A or DOS’s regulations; brokers’ licenses revoked.

27 DOS 06 DOS v. Rust- failure to cooperate with DOS investigation; material misstatement on application; proof of qualifying experience; salesperson failed to respond to DOS’s offer of settlement, including option to complete the continuing education requirement by a stated date and pay a fine of $1,000.00; salesperson falsely stated on renewal application that he had completed the mandatory continuing education requirement; salesperson’s license revoked

526 DOS 06 Matter of Cruz- proof of qualifying experience; failure to cooperate with DOS investigation; salesperson fails to provide proof of requisite experience for license as a real estate broker; documentation provided by salesperson was from activity he engaged in while not licensed by DOS as being associated with brokerage and for a broker who would not attest to the salesperson’s experience; DOS fails to establish that salesperson failed to cooperate where DOS informed salesperson that his submission of documentation was insufficient to qualify him for licensure and that he “may” submit additional documentation, such request was permissive and not obligatory and therefore salesperson’s failure to provide additional information was not a failure to cooperate on his part; application for license as a real estate broker denied

550 DOS 06 DOS v. Fellrath- appraisers; proof of qualifying experience; failure to cooperate with DOS investigation; DOS fails its burden of proof; failure to appear at hearing; applicant affirmed on his renewal application that he had completed the required continuing education; applicant failed to respond to DOS letters requesting proof of completion of continuing education requirement; applicant failed to respond to DOS demands for proof of continuing education; in the absence of any replies from applicant, DOS failed to prove that applicant did not take the required continuing education courses and that charge is dismissed; applicant failed to produce evidence of satisfactory continuing education requirements; license as a real estate appraiser assistant revoked

730 DOS 06 DOS v. Ali- failure to cooperate with DOS investigation; failure to appear at hearing; ex parte hearing may proceed upon proof of proper service; proper business practices; broker received as a deposit on the rental of an apartment the sum of $2,550.00; when the rental was not consummated, broker issued the prospective tenant a refund check which was subsequently dishonored; broker violated its fiduciary duties by failing to properly conserve the deposit monies; broker submitted a renewal application using the address from which it had previously moved; broker’s license had been suspended by reason of broker having relocating without notifying DOS; DOS fails to establish broker failed to cooperate with investigation as DOS offered no evidence showing that DOS’s investigator was ever able to contact the broker; broker’s license revoked

1008 DOS 06 Matter of Gold Star Homes – failure to provide agency disclosure, net listing, duty to supervise, allow unlicensed activity, unauthorized alteration of documents, refusal to release client from improper listing, failure to cooperate with DOS, egregious violation, revocation

20 DOS 07 Matter of Bronx County Realty Corp. – failure to satisfy judgment; failure to cooperate; restitution and $2,000 fine

34 DOS 07 Matter of Alberti- Appraisers- supervisory appraiser approves reports that violate USPAP standards; incompetence; failure to cooperate; revocation

51 DOS 07 Matter of Dougherty- Appraisers- general appraiser, audit of Continuing Education Compliance, opportunity to settle; failure to reply, revocation

88 DOS 07 Matter of Davison- salesperson, false statement regarding continuing education; opportunity to settle, failure to cooperate is severe and prevented DOS from ascertaining whether or not respondent is in compliance, revocation

135 DOS 07 Matter of Kaleck- broker misconduct, untimely request for adjournment (19 NYCRR §400.11); false advertising of Century 21 Franchisee; after injunction; misrepresentation; refused to release principal from listing agreement; failure to keep appointment and misstated that home off the market; suit for unearned commission; failure to cooperate in investigation; failure to pay judgment without proof of inability to do so; predatory conduct; revocation

136 DOS 07 Matter of Burkhardt- Failure to provide agency disclosure; property offered without consent of owner; failure to refund deposit; failure to cooperate with DOS investigation; restitution as condition to relicensure

591 DOS 07 Matter of Noonan- salesperson application for broker license denied; false and fraudulent documentation, forgery of essential signature; involvement in unlicensed brokerage business while unlicensed; failure to prove sufficient creditable experience; failure to cooperate

664 DOS 07 Matter of Jenkins- unlicensed brokerage activity; negotiation of rental and collection of rent; wrongful retention of unearned funds; failure to cooperate; referred to Attorney General for prosecution (RPL 441-e[2])

1245 DOS 07 Matter of Jerome- Salesperson, forged signature of broker regarding qualifying experience on application for broker’s license and on change of association card; failure to cooperate with investigation; revocation.

2001 DOS 07 Matter of Khaitov- broker; larceny (felony); failure to cooperate; license revoked

2033 DOS 07 Matter of Balan- salesperson; continuing education; failure to cooperate; revocation

2085 DOS 07 Matter of Levine- salesperson; continuing education; failure to cooperate; revocation

2098 DOS 07 Matter of Mura- appraiser; continuing education; failure to cooperate; suspension pending filing of change of address and proof of required continuing education courses

316 DOS 08 Matter of Arthur – appraiser; continuing education; failure to notify of change of address; non-cooperation; revocation

321 DOS 08 Matter of Osakada – salesperson renewal; continuing education; failure to cooperate; revocation

995 DOS 08 Matter of Island Associates – broker; incompetency in collection of commission not payable by seller; repayment under advice of counsel; dismissal of 175.7 as two separate transactions involved; false testimony and failure to cooperate; incompetency in drafting commission bill which failed to state to whom it was directed; $6,000 fine by deadline or 6-month suspension until paid

1524 DOS 08 Matter of Janeke – salesperson; CE; dismissal of charge of failure to cooperate; mitigation; had signed up prior renewal and completed within one month; $500 fine

189 DOS 09 Matter of Winzone Realty – broker; agency disclosure; listing agreement without 175.24 definition of exclusive listings; failure to cooperate; salesperson seeking direct compensation; dishonest completion of forms; notice of mechanic’s lien; revocation

210 DOS 09 Matter of Carman—salesperson; CE: dismissal of failure to cooperate; 1-month suspension

253 DOS 09 Matter of Keegan – salesperson; CE; dismissal of charge of failure to cooperate; $250 fine

360 DOS 09 Matter of Depass – associate broker; failure of proof of charge of failure to disclose prior business association and failure to cooperate; conduct as attorney is relevant to determining trustworthiness and competitiveness; amend pleading to conform to proof; failure by account; fraudulent mortgage transactions; sham to refinance; revocation

444 DOS 09 Matter of Lewis – failure to provide agency disclosure; failure to cooperate with DOS; $2,000 fine

527 DOS 09 Matter of Burshtein – failure to provide agency disclosure; commission from other than broker; failure to cooperate with DOS; failure to supervise; dismissal

593 DOS 09 Matter of Orlando – failure to manage property; failure to account funds; failure to cooperate with DOS investigation; $300 fine and refund $1,200 with interest

651 DOS 09 Matter of Olayinka—criminal conviction; failure to cooperate with DOS; failure to accept responsibility; license denied

661 DOS 09 Matter of Demmo – unlicensed activity; commission from other than broker; failure to cooperate with DOS; $2,000 fine

742 DOS 09 Matter of Sookram – failure to file termination of association notices; failure to cooperate; revocation and $300 fine for corporate broker

789 DOS 09 Matter of Crego -- §175.13; failure to cooperate; broker failure to file termination of association; broker $2,000; salesperson $250 fine

797 DOS 09 Matter of Odato – appraiser; predetermined estimate; failure to cooperate; revocation

902 DOS 09 Matter of Novelty Realty – salesperson, agency disclosure, unearned commission; fraudulent short sale; failure to supervise; failure to cooperate; revocation

1001 DOS 09 Matter of Weekes – failure to pay judgment; failure to cooperate; $250 fine and suspension until pay judgment with interest

1257 DOS 09 Matter of Thompson – salesperson; CE; failure to reply to DOS audit letter is independent violation; revocation

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The third quarter 2018 edition of NYSAR’s Legal Lines is now available online at NYSAR.com. This edition covers what a broker's agent actually is, the legal issues related to social media use, conditional approval for financing is not a mortgage commitment and more. Learn more

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