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A licensee or license applicant must respond in writing to the Department about any complaint sent to the licensee or applicant by the Department. The response must be made within 20 days of the date the complaint is sent to the licensee or applicant and must set forth the licensee's or applicant's position regarding the transaction which is the subject of the complaint, including the facts which the licensee or applicant believes justify its position. The licensee or applicant must also provide with its response any documents in its possession related to the transaction which is the subject of the complaint. The licensee or applicant must respond to subsequent communications from the Department concerning the complaint within 10 days after receiving a communication. The Department may rely on any complaint, regardless of whether it has been resolved, or any response to such complaint, in any subsequent Department action, including, but not limited to, decisions to deny, suspend, or revoke an application or license.
(Amended City Record 2/24/2020, eff. 3/25/2020)
(a) This section applies to requests for documents, subpoenas, interrogatories, or notices of depositions issued to licensees or applicants pursuant to Section 2203 of the Charter, Title 20 of the New York City Administrative Code, or any other provisions of law or rule within the jurisdiction of the Department.
(b) A licensee must reply to a subpoena, a request for documents or interrogatories within twenty days of the date the request was mailed or otherwise served upon the licensee.
(1) If the licensee fails to respond to a subpoena, a request for documents or interrogatories, the licensee is liable for a separate violation for each day the licensee fails to respond to the requests.
(2) If the licensee provides an incomplete response to a subpoena, a request for documents or interrogatories, the Department may send a deficiency letter to the licensee. If the licensee does not provide a complete response within 14 days of the deficiency letter being sent, the licensee is liable for a separate violation for each day the licensee fails to provide a complete response. If the licensee provides an incomplete response to a subpoena, a request for documents or interrogatories, or to a subsequent deficiency letter, there will be a presumption that the licensee has neglected to respond to each such subpoena, request for documents, interrogatory, or deficiency letter unless the licensee states that the licensee has no responsive documents to that particular request or no information responsive to that particular interrogatory.
(3) Licensees must include a notarized certification that each subpoena, request for documents or interrogatory was answered fully and truthfully, accompanying their response. Responses to a subpoena, request for documents or interrogatories will not be deemed complete until they are accompanied by such certification.
(c) A licensee must appear at a time and place designated by the Department for a deposition. Failure to appear for a noticed deposition will be grounds for revocation of the licensee's license upon notice and opportunity to be heard. If the licensee is an individual, he or she must appear; if a partnership, one of its general partners with relevant knowledge of the partnership must appear; and if a corporation or limited liability company, one of its members or officers with relevant knowledge of the corporation must appear.
(d) The Department may serve subpoenas, interrogatories, requests for documents, and notices of deposition upon an applicant regarding materials related to a license or renewal application. Failure by the applicant to fully respond to a subpoena, interrogatories or a request for documents, or to appear for a deposition, within twenty days of the mailing date of the request or of the date indicated on the notice of deposition will be grounds for denial of the license application.
(e) Subpoenas, interrogatories, requests for documents and notices of deposition pursuant to this section may be served by ordinary mail addressed to the licensee's or applicant's place of business. They may also be served by ordinary mail addressed to the residence of an individual licensee; the residence of a general partner of a partnership licensee; the residence of an officer or principal stockholder of a corporate licensee, or the residence of a member of a limited liability company licensee. They may also be served by email if an email address has been provided by the licensee or applicant.
(f) Upon good cause shown, the Department may extend the time to respond as required under this section.
(Amended City Record 2/24/2020, eff. 3/25/2020)
A licensee must appear at the Office of Administrative Trials and Hearings to answer a notice of hearing served upon that licensee. If the licensee is an individual, he or she must appear; if a partnership, one of its general partners must appear; if a corporation, one of its officers must appear; and if a limited liability company, one of its members must appear. A notice of hearing pursuant to this section may be served by ordinary mail addressed to the licensee's place of business. It may also be served by ordinary mail addressed to the residence of an individual licensee; the residence of a general partner of a partnership licensee; the residence of an officer or principal stockholder of a corporate licensee, or the residence of a member of a limited liability company licensee. It may also be served by email if an email address has been provided by the licensee or applicant. Notices of hearing includes summonses, petitions, and other notices of violation filed by the Department.
(Added City Record 2/24/2020, eff. 3/25/2020)
A licensee or license applicant must satisfy any outstanding judgment against him or her that has been obtained by a consumer and that relates to activities for which a license is required:
(a) within thirty (30) days from the date of entry of the judgment; or
(b) if the judgment has been stayed or appealed, within thirty (30) days from the date the stay is lifted or the appeal decided; or
(c) according to a payment schedule the parties agree upon.
(a) Every licensee shall maintain the records which it is required to maintain under Chapters 1 and 2 of Title 20 of the New York City Administrative Code and the regulations promulgated thereunder, and, except as otherwise set forth in said chapters or regulations, shall retain such records for three years. Licensees shall make such records available for inspection at the offices of the Department of Consumer Affairs, or at licensee's place of business, during business hours.
(b) The Commissioner or authorized representatives of the Commissioner may enter the business premises of a licensee during business hours for the purposes of:
(1) Inspecting or examining licensee's place of business in order to verify compliance with the provisions of Chapters 1 and 2 of Title 20 of the New York City Administrative Code and the regulations promulgated thereunder; and
(2) Inspecting or examining any records or documents licensee is required to maintain pursuant to said chapters and regulations; and
(3) Inspecting or examining non-public areas of licensee's place of business for the purposes stated in paragraph (b)(1) above.
(c) Inspections of the type described above will be conducted at least once in every two-year period, and additional inspections will be conducted if an inspection reveals alleged violations of Chapters 1 and 2 of Title 20 of the New York City Administrative Code or the regulations promulgated thereunder. Additional inspections shall also be conducted whenever the Department receives information alleging violation of said chapters or regulations.
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