Frame the supervision question precisely
Florida Statutes § 475.25(1)(u) addresses a broker’s duty to direct, control, or manage a broker associate or sales associate employed by that broker. A review should establish registration and dates, the broker’s management structure, the particular conduct in dispute, and what the broker knew or reasonably had a way to address. The absence of a policy or a training record alone does not resolve the entire question.
Compare written systems with actual practice
The review can examine onboarding, continuing training, supervisory assignments, file review, advertising approval, escalation procedures, compliance notices, and whether an issue was raised before the disputed event. It matters whether the procedure existed, was communicated, was used, and related to the conduct alleged in the case.
Brokerage policy, statutory licensing duties, FREC rules, and REALTOR® ethical obligations are distinct sources. A useful opinion names its source and avoids treating a private office rule or an ethics provision as if it were itself a statute.
Records to request from counsel
- License and brokerage registration records for the relevant period.
- Policies, onboarding materials, training records, and versions in force during the transaction.
- Transaction file, communications, advertising approvals, supervisory notes, and complaint or escalation records.
- Relevant testimony from the associate, supervising broker, and personnel who handled review or training.
A scoped initial review can identify which records are missing, whether the issue fits this subject matter, and whether an opinion can be reliably supported. A later report should distinguish documented facts, assumptions, professional-practice analysis, and limits.