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1. General Principle

117 DOS 94 Matter of Fried - fraudulent practice in procuring loan from client, to be repaid out of commission when transaction closed; failure to disclose outstanding debts owing to broker for commission advances previously received; inability to repay is no defense; restitution not available in licensing proceeding, it is incidental to primary purpose of licensing; application for renewal denied

24 DOS 95 Matter of Seplow - disciplinary charge jurisdiction where licensee's renewal has been previously denied; proof of service of process; agency relationship and duties; fraud in sale of cooperative apartment, including false information about particular sale and willful non-disclosure of material information; failure to obey buyer's obvious intent to have deposit treated as funds to be held in escrow as payments to seller; conversion; rules applicable to supplemental pleadings - absent surprise or prejudice, motion to file and serve could be granted on day of hearing, but here respondent doesn't appear, so supplemental complaint dismissed without prejudice; DOS fails its burden of proof as to extortion and retention of unlawful commission and unauthorized practice of law; when respondent became optionee to purchase subject matter, agency relationship ceased to exist; fiduciary duty precludes respondent from acting simultaneously as agent and principal in a transaction; restitution of $35,000 deposit plus interest at legal rate for judgments

42 DOS 95 Matter of Hayes - applicant who was previously licensed fails to prove trustworthiness; convicted for sexual abuse, second degree (contact with a minor); material misstatement in application for license; evidence of character must establish reputation; no conditional license for commercial property only; unfavorable inference drawn from failure to call witnesses with knowledge about a material issue

47 DOS 96 Matter of DOS v. Maneri - felony conduct; pleadings amended to conform to proof; notarization; participation in scheme to fraudulently convey real property demonstrates untrustworthiness; it is irrelevant that licensee's actions were not within scope of activities as licensee where such actions clearly indicate licensee cannot deal fairly with the public; renewal of license after DOS learned of licensee misconduct does not collaterally estop DOS action to revoke or suspend license; Correction Law Act 23-A applies only to applications and not actions by DOS to suspend or revoke license; notary public acts unlawfully when he notarizes a document without the purported signatory being present; felony conviction bars commission as notary public in absence of executive pardon or Certificate of Good Conduct; broker's license revoked; notary commission revoked

985 DOS 06 Matter of Marrale – prior misconduct, criminal possession of stolen property, single misdemeanor, renewal granted

239 DOS 07 DOS v .Nickerson- residential appraiser; failure to take required continuing education; misinformed by employee that taking course in same month as renewal is not violation; explanation sufficient to reduce sanctions

389 DOS 07 DOS v. Jenkins- salesperson renewal; failure to complete continuing education; testimony that licensee was unaware is not credible; personal difficulties not an excuse; 4 months suspension

416 DOS 07 Matter of. DeFinis- appraiser assistant; failure to respond to audit of continuing education; revocation

737 DOS 07 Matter of Behrmann- alleged false affirmation of continuing education; charge dismissed due to no response to request for information; failure to cooperate; revocation

999 DOS 07 Matter of Stacy- Salesperson; duty to cooperate; DOS fails burden of proof as to failure to complete continuing education and false statement, as no appearance by respondent; fine of $1,000 and suspension until fine paid and proof of compliance with continuing education requirements is filed

1359 DOS 07 Matter of Turkel- Salesperson; failure to establish continuing education; suspension until provide proof of completion of continuing education

1362 DOS 07 Matter of Noble- Salesperson; renewal applicant; convicted of Grand Larceny 2nd degree (C Felony); direct relationship; Certificate of Relief From Disabilities; prior license as salesperson with support of broker for relicensure; no unreasonable risk; application granted

1436 DOS 07 Matter of Cannon- Salesperson; continuing education; failure to submit proof; $1,000 fine and suspension until proof of compliance

1439 DOS 07 Matter of Li- Salesperson; material misstatement in renewal application; prior discipline; denial of renewal

1559 DOS 07 Matter of Park- associate broker; failure to fulfill continuing education; declined offer to settle; $1000 fine or 4 month suspension

1612 DOS 07 Matter of Goodbinder- salesperson; failure to complete continuing education; decline offer to settle; $1000 fine and provide proof of completion of continuing education or suspension until proof provided

1613 DOS 07 Matter of Panetta- salesperson; failure to complete continuing education; extenuating medical circumstances make noncompliance inadvertent and not willful

1649 DOS 07 Matter of Filatov- salesperson; failure to complete continuing education; false statement; declined offer to settle; two months suspension

1650 DOS 07 Matter of Bisignano- appraiser assistant; failure to complete continuing education; false statement; declined offer to settle; two months suspension

1651 DOS 07 Matter of Scalzo- appraiser assistant; failure to complete continuing education; personal, family hardship; suspension until provides proof of completion

1772 DOS 07 Matter of Wishbow- salesperson; failure to complete continuing education; $300 fine or one month suspension

1847 DOS 07 Matter of Tuccillo- Salesperson; continuing education; belated completion does not excuse false statement; $1,000 fine or 3 months suspension

1848 DOS 07 Matter of Sobanko- Salesperson; continuing education; $1,000 fine or 3 months suspension

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

2041 DOS 07 Matter of Harris- broker renewal; child support; certification of compliance; renewal granted

2051 DOS 07 Matter of Oyebisi- salesperson; continuing education; opportunity to settle; $1,000 fine or 3 month suspension and suspension until complete 22 ½ hours continuing education course

2057 DOS 07 Matter of Morrissey- salesperson; continuing education; erroneous belief as to 15 year exemption; opportunity to settle; $1,000 fine or 3 month suspension

2058 DOS 07 Matter of Oshima- salesperson; continuing education; opportunity to settle; $1,000 fine or 3 month suspension

2059 DOS 07 Matter of DeFinis- appraiser assistant; appeal; new hearing; continuing education; mitigation; reprimand

2060 DOS 07 Matter of Loiola- appraiser; continuing education; adequate time to reobtain stolen records; suspension until completes balance of 11 hours

2066 DOS 07 Matter of Ramirez- appraiser assistant; continuing education; opportunity to settle; three month suspension

2067 DOS 07 Matter of Spratt- appraiser; continuing education; opportunity to settle; 3 month suspension

2083 DOS 07 Matter of Kantor- salesperson; continuing education; mitigation (cancer and hardship); reprimand

2084 DOS 07 Matter of Kirschman- salesperson; continuing education; mitigation (family problems); $300 Fine or 3 month suspension

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

2086 DOS 07 Matter of Scully- salesperson; continuing education; mitigation (mistaken belief and hardship); reprimand

2095 DOS 07 Matter of Lettieri- salesperson; continuing education; opportunity to settle; $1,000 fine or 3 month suspension

2096 DOS 07 Matter of Farnett- appraiser; 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

2099 DOS 07 Matter of Celedon- appraiser; continuing education; failure to cooperate; revocation

2100 DOS 07 Matter of Wait- appraiser; continuing education; out of state courses; mitigation (single parent, hardship); order to complete 28 hours by 1/15/08; suspension until thereafter completed

2135 DOS 07 Matter of Gonzalez- appraiser assistant; continuing education; timing problem with courses; 2 month suspension

2216 DOS 07 Matter of Hegarty- appraiser; continuing education; false affirmation of compliance; two month suspension and requirement to provide proof of compliance within said two month period

2218 DOS 07 Matter of Naqvi- appraiser; continuing education; mistaken belief that his broker continuing education would apply toward fulfilling USPAP requirements; completed within one month of renewal period; understandable reliance upon LIBOR; complaint dismissed

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

324 DOS 08 Matter of Velazquez – salesperson renewal; continuing education; opposition to settlement for $2,000 fine; 2-month suspension and until proof of continuing education

325 DOS 08 Matter of Genao – salesperson renewal; continuing education; false statement; subsequent fulfillment; $1,000 fine

326 DOS 08 Matter of Nikitsiuk – salesperson renewal; continuing education; rejected opportunity to pay fine; revocation

329 DOS 08 Matter of Volcy – salesperson renewal; continuing education; rejected opportunity to pay fine; suspension until submit proof of CE

465 DOS 08 Matter of Flanagan – salesperson renewal; continuing education; online course; failure to stay online for 22 ½ hours; courses retaken; 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

853 DOS 08 Matter of Sterling – broker renewal; failure to secure seller’s signature on §443 form; false business address; renewal application for dissolved corporation; revocation

863 DOS 08 Matter of Pidoriano – salesperson; continuing education; rejection of offer to settle; two-month suspension

864 DOS 08 Matter of Raymond – salesperson; continuing education; dismissal of charge of failure of cooperation; completed one day after renewal date; reprimand

1213 DOS 08 Matter of Robustelli – salesperson; continuing education; improper licensure for 5 months; inability to pay fine; two-month suspension

1215 DOS 08 Matter of Vitanza – salesperson; continuing education; failure to cooperate; failure to appear at hearing after appeal of revocation; penalty should eliminate improper advantage; revocation

1242 DOS 08 Matter of Tulsie – salesperson; continuing education; failure to supply proof; three-month suspension and until supply proof of completion

1243 DOS 08 Matter of Wyre – salesperson; continuing education; improper licensure for 10 months; ten-month suspension

1291 DOS 08 Matter of Pavero – salesperson; continuing education; failure to cooperate; penalty should eliminate advantage obtained by misrepresentation; revocation

1299 DOS 08 Matter of Umpthery – salesperson; continuing education; failure to cooperate; wrongful license for substantial period of time; revocation

1407 DOS 08 Matter of Babukutty – salesperson; continuing education; dismissal of charge of failure to cooperate; mistaken belief of exemption due to 15 years licensure as salesperson (not a broker); $750 fine

1408 DOS 08 Matter of Blake – salesperson; continuing education; wrongfully licensed for two months; two-month suspension

1409 DOS 08 Matter of Gandolfo – salesperson; continuing education; failure to cooperate; penalty kept at $500 offer which was rejected, as respondent had signed up for courses prior to application for renewal

1410 DOS 08 Matter of Roberts – broker; continuing education; failure to timely complete CLE; wrongfully licensed one month; illness and inability to pay fine; sole support of family; reprimand

1485 DOS 08 Matter of Doty – broker; jurisdiction over expired licensee; requirement to maintain business records for three years §175.23(2); failure to refund deposit; relocation of offices without notice to DOS; revocation; no consideration of reapplication; refund $500 deposit plus interest

144 DOS 09 Matter of Khan – salesperson renewal; felony; no certificate of relief; RPL §440 prohibition

747 DOS 09 Matter of Simme – unlicensed activity; failure to renew; 14 transactions; $3,000 fine and refund to one seller $16,200 plus interest (less the full restitution of all commissions when unlicensed and less than $1,000 fine per transaction)

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Third quarter Legal Lines now available

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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