Broker supervision starts with a plan, attorney says

Brokers need to do more than hold a license and respond when problems arise. They should be able to show how they train, supervise and remain accessible to the associates working under them, real estate attorney Danny Villazon told attendees at the recent Florida Real Estate Legal Summit.

Villazon opened his presentation with a warning about failure to supervise, saying the Florida Real Estate Commission (FREC) is closely examining whether brokers are actively overseeing their offices and associates.

“The real estate commission is really riding hard on this,” Villazon said. “Their concern is that there’s a lot of agents out there who are not getting properly supervised.”

He discussed cases involving brokers who were not involved in day-to-day operations, did not know their associates or could not explain how they supervised multiple brokerages. In one example, a broker lived in Tampa while the associates were in Miami and did not know the office address, the associates’ names or how many associates worked under the license.

Steps brokers can take

Villazon offered several ways brokers can strengthen oversight and reduce the risk of a failure-to-supervise charge:

• Offer training. Brokers should provide training and make themselves available when associates have questions.
• Be accessible. Brokers should know who works under the brokerage, where offices are located and what is happening in the business.
• Maintain written policies. A policy and procedure manual should state that associates are expected to comply with Florida real estate laws and FREC rules.
• Review contractor agreements. Independent contractor agreements can also include language requiring associates to comply with applicable laws and rules.
• Monitor advertising. Brokers are responsible for ensuring that brokerage, team, website and social media advertising follows FREC rules.
• Check team branding. The brokerage’s registered name should be clearly displayed and not hidden in small print beneath a team or individual brand.
• Confirm property claims. Villazon recommended obtaining written information from sellers about upgrades and having sellers review the MLS input sheet for accuracy.
• Keep complete files. Transaction files should include full contracts, listing agreements, escrow verification letters, disclosures, offers and communications.
• Monitor license status. Brokers should regularly verify that associates’ licenses remain valid, current and active.
• Prepare for investigators. Brokerages should have a procedure that identifies who may speak with an investigator and how requested records will be handled.

“Make sure if you’re a broker that you offer training,” Villazon said. “You have to be an accessible broker.”

Advertising is a broker responsibility

Villazon said investigators review websites and other advertising for compliance. Team websites that emphasize the team brand while placing the brokerage name in small or difficult-to-see type can create problems.

Social media also counts as advertising, he said, and brokers are responsible for making sure associates and teams comply with the rules.

Accuracy is equally important. Villazon warned against making unsupported claims about features such as wood flooring, hurricane windows or sewer connections. Written information from the seller can help document where the information originated.

“Don’t guess,” Villazon said. “Make sure before you put that down, because it can get you all kinds of liability.”

Know what is in the files

Villazon also urged brokers to maintain complete, organized transaction records. Files should contain all pages of executed contracts, not only the first and last pages, as well as records showing offers were presented and known property information was disclosed.

Emails, text messages and other communications should also be retained.

“My philosophy is, the more documentation, the better,” he said.

That documentation may become important during an audit, inspection or complaint investigation. Villazon said a strong file can help show that the brokerage and its associates complied with FREC laws and rules.

For brokers, the central message was clear: supervision should be active, documented and visible in the brokerage’s daily operations.

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