Within minutes, hundreds or thousands of dollars will
appear in your brokerage account.
Not exact matches
Sometimes these additional costs
appear, making an ETF portfolio
in an ordinary
brokerage account to be less costly, as long as the dollar cost averaging is managed well.
Proof was the completely overwhelmed broker manager at the listing office, at closing
accounting procedure, where it seems no one at the listing
brokerage had ever reviewed the APS, until their portion was paid by their seller's law office and
appeared in the listing
brokerage as a shortfall payout.
107 DOS 98 Matter of DOS v. Sosis - subject matter jurisdiction; due process; failure to
appear at hearing; proper business practices; deposits; fraudulent practice; DOS fails its burden of proof; DOS has subject matter jurisdiction if at the time the disciplinary proceeding was commenced by proper service of a notice of hearing and complaint the party was (i) licensed to engage
in regulated real estate activities, or (ii) an applicant for either a license or for the renewal of a license to engage
in regulated real estate activities, or (iii) eligible to automatically renew the prior license under the two - year limitation provision of RPL § 441 (2); ex parte hearing is permissible upon proof of proper notice of hearing; DOS has subject matter jurisdiction where party was licensed at the time proceeding was commenced and, where at time of hearing, although not licensed was eligible to automatically apply to renew pursuant to RPL § 441 (2); licensee operated a real estate
brokerage business under an unlicensed name; licensee unlawfully retains deposit funds after deposit monies were delivered on the condition that same were to be disbursed only on the principal's consent and approval and said consent and approval was not given; licensee's illegal exercise of right of ownership over his principal's funds spawns conversion and constitutes a fraudulent practice; DOS fails its burden of proof to establish licensee failed to deposit trust funds
in a segregated escrow
account, engaged
in fraud and changed business location without notice to DOS; restitution ordered
in the amount of $ 1,900 plus interest, fine of $ 1,000 and any further application for licensure shall not be considered until applicant pays said fine and provides proof of payment of restitution
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