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Unless otherwise specified, the penalties set forth for each section of law or rule shall also apply to all subdivisions, paragraphs, subparagraphs, clauses, items, or any other provision contained therein. Each subdivision, paragraph, subparagraph, clause, item, or other provision charged in the Notice of Violation shall constitute a separate violation of the law or rule.
For the fine amounts marked by a single asterisk, if the respondent timely submits the appropriate proof of having cured a first-time violation, the respondent will not be subject to a civil penalty pursuant to Local Law 153 of 2013.
Unless otherwise specified by law, a second or third or subsequent violation means a violation by the same respondent, whether by pleading guilty, being found guilty in a decision, or entering into a settlement agreement for violating the same provision of law or rule, within two years of the prior violation(s).
In certain cases, the Department may ask for license suspension or revocation, as permitted by statute. If a respondent is found in violation of multiple provisions that require a suspension period, the suspension periods shall run concurrently.
The parties shall be authorized to present evidence to mitigate the license revocation or suspension period within the date range marked by two asterisks (**).
Citation | Violation Description | First Violation | First Default | Second Violation | Second Default | Third and Subsequent Violation | Third and Subsequent Default |
Citation | Violation Description | First Violation | First Default | Second Violation | Second Default | Third and Subsequent Violation | Third and Subsequent Default |
Admin. Code § 20-373 | Operating sight-seeing bus or horse-drawn cab without a license | $100 per day | $100 per day | $100 per day | $100 per day | $100 per day | $100 per day |
Admin. Code § 20-374 | Improper transfer of license for operation of sight-seeing bus; improper transfer of license for operation of horse-drawn cab | $375 | $500 | $450 | $500 | $500 | $500 |
Admin. Code § 20-375 | Failure to display license plate or replaceable date tag on sight-seeing bus or horse-drawn cab | $375 | $500 | $450 | $500 | $500 | $500 |
Admin. Code § 20-376 | Failure to submit sight-seeing bus for inspection | $500 (plus revocation)** | $500 (plus revocation) | $500 (plus revocation)** | $500 (plus revocation) | $500 (plus revocation)** | $500 (plus revocation) |
Admin. Code § 20-376.1 | Failure to equip sight-seeing bus with headphone- limited sound reproduction system | $550 per day (plus revocation)** | $750 per day (plus revocation) | $675 per day (plus revocation)** | $750 per day (plus revocation) | $750 per day (plus revocation)** | $750 per day (plus revocation) |
Admin. Code § 20-377.1(b) | Failure of horse-drawn cab licensee to report modification, amendment, cancellation or substitution of required insurance policy | $375 | $500 | $450 | $500 | $500 | $500 |
Admin. Code § 20-380 | Collection of fare for use of horse-drawn cab in excess of specified amounts | $375 | $500 | $450 | $500 | $500 | $500 |
Admin. Code § 20-381(a) | Unlicensed operation of horse-drawn cab | $100 per day | $100 per day | $100 per day | $100 per day | $100 per day | $100 per day |
Admin. Code § 20-381(e) | Operation of horse-drawn cab by person who is not licensed driver or apprentice or holder of probationary license | $375 | $500 | $450 | $500 | $500 | $500 |
Admin. Code § 20-381.1 | Operating horse-drawn cab at prohibited time or location | $375 | $500 | $450 | $500 | $500 | $500 |
Admin. Code § 20-381.1(d) | Operating horse-drawn cab in violation of notice given by authorized enforcement officer | $500 (plus revocation) | $500 (plus revocation) | $500 (plus revocation) | $500 (plus revocation) | $500 (plus revocation) | $500 (plus revocation) |
Admin. Code § 20-381.2(b) | Failure to equip horse drawn cab with emergency brake system | $500 (plus revocation)** | $500 (plus revocation) | $500 (plus revocation)** | $500 (plus revocation) | $500 (plus revocation)** | $500 (plus revocation) |
Admin. Code § 20-382 | Unlawful agreement between owner of horse- drawn cab and any hotel, apartment house, restaurant or cafe | $375 | $500 | $450 | $500 | $500 | $500 |
6 RCNY § 2-211 | Violation of requirements applicable to owners and drivers of sightseeing buses | $375 | $500 | $450 | $500 | $500 | $500 |
6 RCNY § 2-211(c) | Failure to post schedule of rates charged for each sightseeing bus trip | $375* | $500* | $450 | $500 | $500 | $500 |
6 RCNY § 2-211(m) | Operation of sightseeing bus by single driver for more than 12 hours in any 24 hour period | $500 (plus revocation)** | $500 (plus revocation) | $500 (plus revocation)** | $500 (plus revocation) | $500 (plus revocation)** | $500 (plus revocation) |
6 RCNY § 2-211.1 | Failure to comply with recordkeeping requirements applicable to owners of sightseeing buses | $375 | $500 | $450 | $500 | $500 | $500 |
6 RCNY § 2-212 | Violation of requirements applicable to owners and drivers of horse-drawn cabs | $375 | $500 | $450 | $500 | $500 | $500 |
6 RCNY § 2-212(q)(3) | Operation of horse-drawn cab by single driver for more than 12 hours in any 20 hour period | $500 (plus revocation)** | $500 (plus revocation) | $500 (plus revocation)** | $500 (plus revocation) | $500 (plus revocation)** | $500 (plus revocation) |
6 RCNY § 2-212(q)(6) | Operating horse-drawn cab under influence of intoxicating liquor or drugs | $500 (plus revocation)** | $500 (plus revocation) | $500 (plus revocation)** | $500 (plus revocation) | $500 (plus revocation)** | $500 (plus revocation) |
(Added City Record 8/22/2016, eff. 8/22/2016)
All citations are to of the Administrative Code of the City of New York or Title 6 of the Rules of the City of New York.
Unless otherwise specified, the penalties set forth for each section of law or rule shall also apply to all subdivisions, paragraphs, subparagraphs, clauses, items, or any other provision contained therein. Each subdivision, paragraph, subparagraph, clause, item, or other provision charged in the Notice of Violation shall constitute a separate violation of the law or rule.
Unless otherwise specified by law, a second or third or subsequent violation means a violation by the same respondent, whether by pleading guilty, being found guilty in a decision, or entering into a settlement agreement for violating the same provision of law or rule, within two years of the prior violation(s).
In certain cases, the Department may ask for license suspension or revocation, as permitted by statute. If a respondent is found in violation of multiple provisions that require a suspension period, the suspension periods shall run concurrently.
The parties shall be authorized to present evidence to mitigate the license revocation or suspension period within the date range marked by two asterisks (**).
Citation | Violation Description | First Violation | First Default | Second Violation | Second Default | Third and Subsequent Violation | Third and Subsequent Default |
Citation | Violation Description | First Violation | First Default | Second Violation | Second Default | Third and Subsequent Violation | Third and Subsequent Default |
Admin. Code § 20-387 | Unlicensed solicitation or performance of home improvement contract | $1,000, plus $100 per day | $1,000, plus $100 per day | $1,000, plus $100 per day | $1,000, plus $100 per day | $1,000, plus $100 per day | $1,000, plus $100 per day |
Admin. Code § 20-389 | Unauthorized assignment or transfer of license; improper posting of license. | $500 | $1,000 | $750 | $1,000 | $1,000 | $1,000 |
Admin. Code § 20-392(a)(1) | Fraud, misrepresentation, or bribery in securing a license | $1,000 (plus revocation)** | $1,000 (plus revocation) | $1,000 (plus revocation)** | $1,000 (plus revocation) | $1,000 (plus revocation)** | $1,000 (plus revocation) |
Admin. Code § 20-392(a)(2) | False statement regarding a material matter in license application | $500 | $1,000 | $750 | $1,000 | $1,000 | $1,000 |
Admin. Code § 20-392(a)(3) | Management personnel untrustworthy or not of good character | $500 | $1,000 | $750 | $1,000 | $1,000 | $1,000 |
Admin. Code § 20-392(a)(4) | Failure to timely perform or complete contracts, manipulation of assets or accounts, or fraud or bad faith in business transactions, or unwholesome method or practice of solicitation | $1,000 (plus revocation)** | $1,000 (plus revocation) | $1,000 (plus revocation)** | $1,000 (plus revocation) | $1,000 (plus revocation)** | $1,000 (plus revocation) |
Admin. Code § 20-392(a)(5) | Failure to display license properly | $500 | $1,000 | $750 | $1,000 | $1,000 | $1,000 |
Admin. Code § 20-392(a)(6) | Failure to comply with lawful demand or requirement of commissioner | $500 | $1,000 | $750 | $1,000 | $1,000 | $1,000 |
Admin. Code § 20-392(a)(7) | Act of omission, fraud, or misrepresentation by agent or employee approved or known by licensee | $500 | $1,000 | $750 | $1,000 | $1,000 | $1,000 |
Admin. Code § 20-393 | Prohibited practices in operation of home improvement business | $750 (plus revocation)** | $1,000 (plus revocation) | $900 (plus revocation)** | $1,000 (plus revocation) | $1,000 (plus revocation)** | $1,000 (plus revocation) |
Admin. Code § 20-394.1 | Failure to provide notice of right of owner to cancel home improvement contract. | $500 | $1,000 | $750 | $1,000 | $1,000 | $1,000 |
Admin. Code § 20-395 | Failure to advise consumer of availability of estimate or failure to provide estimate on request | $500 | $1,000 | $750 | $1,000 | $1,000 | $1,000 |
6 RCNY § 2-221 | Failure to meet requirements for content and cancellation of home improvement contract | $500 | $1,000 | $750 | $1,000 | $1,000 | $1,000 |
6 RCNY § 2-222 | Prohibited advertising or selling practices | $500 | $1,000 | $750 | $1,000 | $1,000 | $1,000 |
6 RCNY § 2-223 | Violation of duties and responsibilities of home improvement prime contractor | $500 | $1,000 | $750 | $1,000 | $1,000 | $1,000 |
6 RCNY § 2-224 | Failure of participant in home improvement business trust fund to meet requirements of participation | $500 | $1,000 | $750 | $1,000 | $1,000 | $1,000 |
6 RCNY § 2-225 | Failure to furnish required bond | $500 | $1,000 | $750 | $1,000 | $1,000 | $1,000 |
(Added City Record 8/22/2016, eff. 8/22/2016)
Unless otherwise specified, the penalties set forth for each section of law or rule also apply to all subdivisions, paragraphs, subparagraphs, clauses, items, or any other provision contained therein. Each subdivision, paragraph, subparagraph, clause, item, or other provision charged in the Notice of Violation constitutes a separate violation of the law or rule.
In certain cases, the Department may ask for license suspension or revocation, as permitted by statute. If a respondent is found in violation of multiple provisions that require a suspension period, the suspension periods run concurrently.
Unless otherwise specified by law, a second or third or subsequent violation means a violation by the same respondent, whether by pleading guilty, being found guilty in a decision, or entering into a settlement agreement for violating the same provision of law or rule, within two years of the prior violation(s).
Citation | Violation Description | First Violation | First Default | Second Violation | Second Default | Third and Subsequent Violation | Third and Subsequent Default |
Citation | Violation Description | First Violation | First Default | Second Violation | Second Default | Third and Subsequent Violation | Third and Subsequent Default |
Admin. Code § 20-403 | Operated as an unlicensed process server or process serving agency. | $100 per day | $100 per day | $100 per day | $100 per day | $100 per day | $100 per day |
Admin. Code § 20-406.2 | Failure to comply with the responsibilities of process serving agencies | $750 | $1,000 | $900 | $1,000 | $1,000 | $1,000 |
Admin. Code § 20-406.3 | Failure to maintain proper records | $750 | $1,000 | $900 | $1,000 | $1,000 | $1,000 |
Admin. Code § 20-410 | Failure to maintain electronic record of service | $750 | $1,000 | $900 | $1,000 | $1,000 | $1,000 |
6 RCNY § 2-233 | Failure to comply with recordkeeping requirements | $750 | $1,000 | $900 | $1,000 | $1,000 | $1,000 |
6 RCNY § 2-233b | Failure to comply with global positioning system recordkeeping requirements | $750 | $1,000 | $900 | $1,000 | $1,000 | $1,000 |
6 RCNY § 2-234 | Failure to comply with all federal, state and municipal laws, rules, regulations and requirements | $750 | $1,000 | $900 | $1,000 | $1,000 | $1,000 |
6 RCNY § 2-234a | Failure to comply with the duties of process serving agencies | $750 | $1,000 | $900 | $1,000 | $1,000 | $1,000 |
6 RCNY § 2-234b | Failure to comply with the duty of process servers to report agencies that assign service | $750 | $1,000 | $900 | $1,000 | $1,000 | $1,000 |
6 RCNY § 2-235 | Improper preparation or maintenance of affidavit of service | $750 | $1,000 | $900 | $1,000 | $1,000 | $1,000 |
6 RCNY § 2-236 | Failure to comply with the duty to report hearings contesting service | $750 | $1,000 | $900 | $1,000 | $1,000 | $1,000 |
6 RCNY § 2-237 | Improper wearing of insignia | $750 | $1,000 | $900 | $1,000 | $1,000 | $1,000 |
6 RCNY § 2-238 | Improper use of ZIP codes
| $750 | $1,000 | $900 | $1,000 | $1,000 | $1,000 |
6 RCNY § 2-239 | Failure to comply with email requirements
| $750 | $1,000 | $900 | $1,000 | $1,000 | $1,000 |
6 RCNY § 2-240 | Failure to comply with audit requirements
| $750 | $1,000 | $900 | $1,000 | $1,000 | $1,000 |
(Added City Record 8/22/2016, eff. 8/22/2016; amended City Record 5/11/2020, eff. 6/10/2020; amended City Record 9/23/2022, eff. 10/23/2022)
All citations are to of the Administrative Code of the City of New York or Title 6 of the Rules of the City of New York.
Unless otherwise specified, the penalties set forth for each section of law or rule shall also apply to all subdivisions, paragraphs, subparagraphs, clauses, items, or any other provision contained therein. Each subdivision, paragraph, subparagraph, clause, item, or other provision charged in the Notice of Violation shall constitute a separate violation of the law or rule.
For the fine amounts marked by a single asterisk, if the respondent timely submits the appropriate proof of having cured a first-time violation, the respondent will not be subject to a civil penalty pursuant to Local Law 153 of 2013.
Unless otherwise specified by law, a second or third or subsequent violation means a sustained violation by the same respondent of the same provision of law, rule, or regulation within two years of the prior violation(s).
In certain cases, the Department may ask for license suspension or revocation, as permitted by statute. If a respondent is found in violation of multiple provisions that require a suspension period, the suspension periods shall run concurrently.
The parties shall be authorized to present evidence to mitigate the license revocation or suspension period within the date range marked by two asterisks (**).
Citation | Violation Description
| First Violation | First Default | Second Violation | Second Default | Third and Subsequent Violation | Third and Subsequent Default |
Citation | Violation Description
| First Violation | First Default | Second Violation | Second Default | Third and Subsequent Violation | Third and Subsequent Default |
Admin. Code § 20-412 | Operating business as an electronic or home appliance service dealer without a license | $100 per day | $100 per day | $100 per day | $100 per day | $100 per day | $100 per day |
Admin. Code § 20-417(1) through (5) | Failure to comply with the duties of an electronic or home appliance service dealer licensee | $175 | $175 | $300 | $300 | $500 | $500 |
Admin. Code § 20-417(6) | Failure to display the required repair sign | $175 | $175 | $300 | $300 | $500 | $500 |
Admin. Code § 20-417(7) | Failure to carry required insurance | $500 | $500 | $500 | $500 | $500 | $500 |
Admin. Code § 20-420 | Engaging in prohibited practices | $175 | $175 | $300 | $300 | $500 | $500 |
6 RCNY § 2-251 | Engaging in prohibited practices | $175 | $175 | $300 | $300 | $500 | $500 |
6 RCNY § 2-252 | Improper advertising by service dealers | $175 | $175 | $300 | $300 | $500 | $500 |
6 RCNY § 2-253 | Failure to display required information | $175 | $175 | $300 | $300 | $500 | $500 |
6 RCNY § 2-253(a)(1) | Failure to display required information regarding service dealer's true identity | $175 | $175 | $300 | $300 | $500 | $500 |
6 RCNY § 2-253(a)(2) | Failure to display required information regarding "cash only" or "cash or certified check" only policy | $175 | $175 | $300 | $300 | $500 | $500 |
6 RCNY § 2-253(a)(3) | Failure to display required notice
| $175* | $175* | $300 | $300 | $500 | $500 |
6 RCNY § 2-254 | Failure to comply with disclosure required for repairs made on licensee's premises | $175 | $175 | $300 | $300 | $500 | $500 |
6 RCNY § 2-255 | Failure to comply with disclosure required for repairs made in the customer's home | $175 | $175 | $300 | $300 | $500 | $500 |
6 RCNY § 2-256 | Failure to comply with estimated completion date requirements | $175 | $175 | $300 | $300 | $500 | $500 |
6 RCNY § 2-257 | Failure to comply with final bill requirements | $175 | $175 | $300 | $300 | $500 | $500 |
6 RCNY § 2-258 | Failure to give or maintain copies of documents | $175 | $175 | $300 | $300 | $500 | $500 |
6 RCNY § 2-259 | Improper return of removed parts | $175 | $175 | $300 | $300 | $500 | $500 |
6 RCNY § 2-260 | Failure to comply with the picture tubes requirements | $175 | $175 | $300 | $300 | $500 | $500 |
6 RCNY § 2-261 | Improper warranty or guarantees | $175 | $175 | $300 | $300 | $500 | $500 |
6 RCNY § 2-262 | Improper insurance coverage | $175 (plus 0 to 15 day suspension)** | $175 (plus 15 day suspension) | $300 (plus 0 to 30 day suspension)** | $300 (plus 30 day suspension) | $500 (plus license revocation)** | $500 (plus license revocation) |
(Added City Record 8/22/2016, eff. 8/22/2016; amended City Record 1/14/2019, eff. 2/13/2019; amended City Record 11/26/2021, eff. 12/26/2021)
Unless otherwise specified, the penalties set forth for each section of law or rule shall also apply to all subdivisions, paragraphs, subparagraphs, clauses, items, or any other provision contained therein. Each subdivision, paragraph, subparagraph, clause, item, or other provision charged in the Notice of Violation shall constitute a separate violation of the law or rule.
For the fine amounts marked by a single asterisk, if the respondent timely submits the appropriate proof of having cured a first-time violation, the respondent will not be subject to a civil penalty pursuant to Local Law 153 of 2013.
Unless otherwise specified by law, a second or third or subsequent violation means a violation by the same respondent, whether by pleading guilty, being found guilty in a decision, or entering into a settlement agreement for violating the same provision of law or rule, within two years of the prior violation(s).
In certain cases, the Department may ask for license suspension or revocation, as permitted by statute. If a respondent is found in violation of multiple provisions that require a suspension period, the suspension periods shall run concurrently.
Citation | Violation Description | First Violation | First Default | Second Violation | Second Default | Third and Subsequent Violation | Third and Subsequent Default |
Citation | Violation Description | First Violation | First Default | Second Violation | Second Default | Third and Subsequent Violation | Third and Subsequent Default |
Admin. Code § 20-426 | Engaged in unlicensed activity | $100 per day | $100 per day | $100 per day | $100 per day | $100 per day | $100 per day |
Admin. Code § 20-428 | Engaged in prohibited practices | $375 | $500 | $450 | $500 | $500 | $500 |
Admin. Code § 20-430 | Failure to comply with the duties of a licensee | $375 | $500 | $450 | $500 | $500 | $500 |
6 RCNY § 2-272 | Engaged in prohibited practices | $375 | $500 | $450 | $500 | $500 | $500 |
6 RCNY § 2-273 | Failure to comply with the written estimate requirements | $375 | $500 | $450 | $500 | $500 | $500 |
6 RCNY § 2-274 | Improper delay in delivery | $375 | $500 | $450 | $500 | $500 | $500 |
6 RCNY § 2-275 | Improper display of required information | $375 | $500 | $450 | $500 | $500 | $500 |
6 RCNY § 2-275(c) | Failure to post the sign summarizing provision of the products for the disabled law | $375* | $500* | $450 | $500 | $500 | $500 |
6 RCNY § 2-276 | Improper return of removed parts | $375 | $500 | $450 | $500 | $500 | $500 |
6 RCNY § 2-277 | Improper final bill and invoice | $375 | $500 | $450 | $500 | $500 | $500 |
6 RCNY § 2-278 | Failure to comply with recordkeeping requirements | $375 | $500 | $450 | $500 | $500 | $500 |
(Added City Record 8/22/2016, eff. 8/22/2016)
Unless otherwise specified, the penalties set forth for each section of law or rule shall also apply to all subdivisions, paragraphs, subparagraphs, clauses, items, or any other provision contained therein. Each subdivision, paragraph, subparagraph, clause, item, or other provision charged in the Notice of Violation shall constitute a separate violation of the law or rule.
Unless otherwise specified by law, a second or third or subsequent violation means a violation by the same respondent, whether by pleading guilty, being found guilty in a decision, or entering into a settlement agreement for violating the same provision of law or rule, within two years of the prior violation(s).
In certain cases, the Department may ask for license suspension or revocation, as permitted by statute. If a respondent is found in violation of multiple provisions that require a suspension period, the suspension periods shall run concurrently.
Citation | Violation Description | First Violation | First Default | Second Violation | Second Default | Third and Subsequent Violation | Third and Subsequent Default |
Citation | Violation Description | First Violation | First Default | Second Violation | Second Default | Third and Subsequent Violation | Third and Subsequent Default |
Admin. Code § 20-436 | Failure to meet requirements of conduct for games of chance | $375 | $500 | $450 | $500 | $500 | $500 |
Admin. Code § 20-436(1) | Engaging in unlicensed games of chance | $100 per day | $100 per day | $100 per day | $100 per day | $100 per day | $100 per day |
Admin. Code § 20-440 | Failure to meet requirement(s) for content and display of license | $375 | $500 | $450 | $500 | $500 | $500 |
Admin. Code § 20-441 | Engaging in prohibited practices | $375 | $500 | $450 | $500 | $500 | $500 |
Admin. Code § 20-442 | Permitting under age person to conduct or assist in the conduct of any game of chance | $375 | $500 | $450 | $500 | $500 | $500 |
Admin. Code § 20-443 | Failure to meet the requirement(s) for the frequency of the games of chance | $375 | $500 | $450 | $500 | $500 | $500 |
Admin. Code § 20-444 | Failure to meet the requirement(s) for the persons operating and conducting games, equipment and other operations | $375 | $500 | $450 | $500 | $500 | $500 |
Admin. Code § 20-445 | Failure to meet the requirement(s) for the charge for admission and participation, amount of prizes and award of prizes | $375 | $500 | $450 | $500 | $500 | $500 |
Admin. Code § 20-446 | Failure to meet the requirement(s) for advertising games | $375 | $500 | $450 | $500 | $500 | $500 |
Admin. Code § 20-447 | Failure to furnish required documents | $375 | $500 | $450 | $500 | $500 | $500 |
Admin. Code § 20-448 | Failure to allow examination of books and records | $375 | $500 | $450 | $500 | $500 | $500 |
Admin. Code § 20-450 | Failure to keep the required books and records and failure to meet the requirements for the operation of the business | $375 | $500 | $450 | $500 | $500 | $500 |
(Added City Record 8/22/2016, eff. 8/22/2016)
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