45. Subpoenas

104 DOS 93 Matter of All Island Estates Corp. -motion to quash subpoenas: (1) tribunal can issue non-judicial subpoenas against licensees, applicants, and non-governmental third parties; (2) tribunal is not authorized to issue non-judicial subpoenas against any governmental agency; (3) attorney for party cannot issue a non-judicial subpoena duces tecum against DOS; (4) tribunal does have authority to declare the validity or materiality of a non-judicial subpoena issued by an attorney; (5) judicial relief is required to determine the validity of for to enforce a non­-judicial subpoena

9 DOS 94 Matter of DOS v. Shane - motion for pre-hearing discovery beyond SAPA 401(6) is denied; rules re:subpoenas in administrative proceedings reiterated; proper procedure of reserving right to file post-hearing memorandum of law; MLS form listing agreements are acceptable; individual license not sufficient to allow acting as representative of corporate licensee -need affiliated license; agreements procured by individual acting under name of firm but without affiliated license are illegal and unenforceable - no brokerage fee can be claimed; misrepresentation and execution of unauthorized extension; misrepresentation of law (distinction between canceling agency authority and abiding contract rights); RPL §443 control the disclosures required of licensees; subsequently licensed corporation not vicariously liable; failure to provide copy of agreement 175.12; inadvertence considered in determining penalty

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

542 DOS 05 DOS v. Sahadath – rejection of entire testimony; subpoenas; broker’s testimony stricken in prior matter where broker brought complaint against salesperson and failed to appear at adjourned date and was not subject to cross examination; broker failed to honor two subpoenas, one from DOS and one from respondent’s attorney; failure to honor subpoena results in dismissal of prior complaint broker himself filed; broker’s patent attempt to mislead the tribunal and his prior plea to a charge of the unauthorized practice of law by advising a client to file for bankruptcy and assisting her in doing so is considered; broker’s license suspended for two years

2337 DOS 07 Matter of Theluscat- salesperson; disobey subpoena to testify at DOS hearing; six month suspension

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