Real-estate licensees
Agents and brokers, and the commission’s file
A commission’s complaint is rarely about one transaction. It is about what the file says about how you run your business.
We represent salespeople and designated brokers. The first two questions are almost always the same: what does the file for that transaction actually contain, and who signed what. A great many complaints are answered by a well-kept file, and the rest are answered by explaining the gaps honestly.
What the commission usually asks for
- The listing or buyer agreement, and every amendment.
- Disclosure forms and the dates each was delivered.
- Escrow or trust-account records for the deposit.
- Your advertising from the time of the transaction.
- Your supervision notes, if you are a broker.
If your assistant, your agent or your office manager is the subject of the complaint, say so on the first call. A broker’s license answers for what a brokerage does.
Where it begins
Files that start like this
What brings an agent or a broker to us.
- 01
A client says money or a deposit was mishandled
Trust accounts are the quickest way to lose a license. We read the ledger before we read the complaint.
- 02
A supervision finding against a broker
You answer for the people you supervise. We look at what your office had in writing and what it actually did.
- 03
Unlicensed activity in your office
An assistant who negotiated, or an agent whose license had lapsed. How you respond matters as much as what happened.
- 04
An advertising or disclosure complaint
These come from competitors as often as from clients. Dates and screenshots decide them.
- 05
A license that lapsed, or a renewal that was refused
Reinstatement has steps and a sequence. Do not practice in the meantime.
Questions agents and brokers ask first
Agents and brokers ask
Can the commission discipline me over a deal that fell through?
It can look at how you handled the transaction even if no one lost money. Whether it will depends on what the file shows.
I am a broker. Am I responsible for my agent’s mistake?
Often partly, because a broker has a duty to supervise. The extent depends on your office’s policies and what you did when you found out.
Should I stop working while this is pending?
Not unless the commission has ordered it. Do not take new work that touches the transaction in question without talking to us first.
Do I need a lawyer for a client’s demand letter, too?
A demand letter and a commission complaint are separate matters, and what you say in one will be read in the other. We help you coordinate them.