During a DOS investigation, a salesperson states that documents requested by investigators are held at her former broker's office, which she no longer has access to. The former broker refuses to voluntarily produce the documents. What is the most appropriate mechanism for the DOS to obtain those documents?
Correct Answer
C) The DOS may exercise its statutory subpoena authority to compel the former broker to produce the documents
Under New York Real Property Law § 441-d and the DOS's investigative authority codified in Executive Law § 93, the Department of State has broad subpoena power to compel the production of documents and records relevant to a disciplinary investigation. When a third party — including a former employing broker — possesses records related to a licensee's activities and refuses to produce them voluntarily, the DOS may issue a subpoena compelling production. Broker records of transactions involving a salesperson are required to be maintained by the broker under DOS regulations (19 NYCRR § 175.23), making the former broker the proper custodian subject to that compulsory process.
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Related Topics & Key Terms
Key Terms:
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More Ny License Law Dos Regulations Questions
In New York, what is the minimum age requirement to obtain a real estate salesperson license?
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- → Under New York Department of State fee schedules, what is the fee required to sit for the real estate salesperson licensing examination?
- → Broker Martinez holds an active NY broker license and operates a principal office. She opens a branch office managed day-to-day by Associate Broker Thompson. A competing broker claims Martinez is violating DOS regulations because the branch office lacks proper licensing. Which of the following best evaluates this claim?
- → A prospective salesperson candidate completed portions of the required 77-hour pre-licensing curriculum at two separate DOS-approved real estate schools. Under NY DOS regulations, which statement best describes the candidate's examination eligibility?
- → Amanda completed her 77-hour pre-licensing course in January 2024. She is now ready to take her exam in March 2026. Is her education still valid?
- → A salesperson has completed 20 of the required 22.5 hours of continuing education before her license renewal deadline. Which of the following would satisfy her remaining 2.5-hour requirement?
- → A New York salesperson wants to open an independent brokerage office without associating with a sponsoring broker. Which licensing distinction determines whether that is permitted?
- → A New York broker receives client money that must be held separately from the broker's own operating funds. What type of account must the broker use under the DOS rule?
- → A New York applicant is selecting a path to complete the 77-hour pre-licensing requirement. Which listed method is not acceptable under New York law?
- → Maria, a New York real estate salesperson, received her license in January 2024. Her license is set to expire in January 2026. She has completed 18 hours of continuing education courses. How many additional CE hours must she complete to satisfy New York's renewal requirements?
- → Steven Garcia completed 18 hours of continuing education during 2025 and 2026. His license expires December 31, 2026. On December 20, 2026, he registers for a 6-hour course scheduled for January 10, 2027. What is his renewal status?
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