Gaming Commission Rulings Database
| Licensee: LUIS PENA |
| Licensed As: TRAINER |
| Notice Number: MO 141-2012 |
| Racing Type: Harness |
| Track: Main Office |
| Notice Date: 12/03/2018 |
| Ruling Type: Fine & Suspension |
| Rule(s): 4101.24, 4120.2, 4120.4, 4119.7, 4119.9 |
| Ruling Text: ***FINDINGS AND ORDER (April 27, 2015)***
Respondent Luis (Lou) Pena, having been served a Notice of Suspension and Hearing (MO 141-2012) scheduling his hearing and advising him that the New York State Gaming Commission (formerly, the New York State Racing & Wagering Board) had summarily suspended his licenses to participate in pari-mutuel harness racing, pursuant to State Administrative Procedure Act § 401(3), Racing, Pari-Mutuel Wagering and Breeding Law §§ 309 and 321, and 9 NYCRR §§ 4101.24, 4120.2, 4120.4, 4119.7, 4119.9, in that 84 horses trained by him had participated from January 2010 to April 2012 in 675 races that were tainted by 1,719 different administrations of various drugs impermissibly close to the scheduled date and time of the race; and
The respondent having received proper notice and participated in an appeal hearing conducted on August 29-31, 2012; and the Hearing Officer having rendered his report on September 27, 2013, which is attached hereto and incorporated herein; and
The summary suspension of respondent having been stayed on February 27, 2013, with the effect that respondent has served 280 days of a summary suspension, from May 24, 2012 to February 27, 2013; and
The Commission, having been prevented from acting on this matter by court order during the period from October 1, 2013 through April 2, 2015; and
THE COMMISSION, after due deliberation, having met on April 27, 2015 and adopted the Hearing Officer’s findings of fact and conclusions of law except as set forth below; now
THEREFORE, upon the record, the Report of the Hearing Officer, and the findings and conclusions adopted, revised or expressed herein; it is hereby;
ORDERED, that THE COMMISSION finds and concludes that two of the 1,719 charges were misplaced, in that the allegations that gonadorelin or GnRH (brand name, Factrel) was administered within 48 hours before the scheduled post times of the horse “P H Jackpot” for race day June 28, 2010 and of the horse “Red River B” for race day November 14, 2010 should be dismissed because the time of the drug administrations were established by the hearing evidence only as having occurred two days before race day, not necessarily within 48 hours of the scheduled post time, although the Hearing Officer did not recommend the dismissal of these two charges; and
ORDERED, that respondent Luis (Lou) Pena committed the remaining 1,717 violations of 9 NYCRR §§ 4120.2 and 4120.4 that are alleged in the aforesaid Notice of Suspension and Hearing, dated May 24, 2012, and the schedules annexed thereto; and
ORDERED, that such violations of the Commission’s restricted use rules were knowing violations by respondent Luis (Lou) Pena; and
ORDERED, that respondent Luis (Lou) Pena is fined two hundred dollars ($200) per violation for a total fine in the sum of three hundred forty-three thousand four hundred dollars ($343,400); and
ORDERED, that respondent Luis (Lou) Pena’s occupational licenses to participate in pari-mutuel racing are hereby revoked; and
ORDERED, that during such time as respondent Luis (Lou) Pena does not have a valid occupational license to participate in pari-mutuel racing, he shall not directly or indirectly participate in New York pari-mutuel horse racing; he is denied the privileges and use of the grounds of all racetracks, and he is forbidden to participate in any share of purses or other payment. In addition, every horse is denied the privileges of the grounds and shall not participate in pari-mutuel racing in New York State that is (a) owned or trained by him, or any individual who serves as his agent or employee; or (b) for which he, during his suspension, is involved, directly or indirectly, with the horse’s training including arrangements made to care for, train, enter, race, invoice, collect fees or payments, manage funds, employ or insure workers, provide advice or information, or otherwise assist with any aspect of the horse’s training; and
ORDERED, that respondent Luis (Lou) Pena shall not be permitted to reapply for any license to participate in pari-mutuel racing in this State for a period of three years; and
ORDERED, that should respondent Luis (Lou) Pena reapply for a license, he shall be credited for the cumulative time that his license was summarily suspended, to wit, for the 280 days that accrued from the date of his summary suspension on May 24, 2012 to the date his summary suspension was stayed on February 27, 2013.
***FINAL ORDER (December 4, 2018)***
Upon the Findings and Order of the New York State Gaming Commission (“Commission”) in this Matter dated April 27, 2015 (copy annexed), having been stayed by court order upon the filing of an article 78 petition styled as Matter of Pena v. N.Y. State Gaming Commission on June 15, 2015; the Supreme Court, Appellate Division having annulled the Commission action on November 3, 2016 with one justice dissenting (see 144 A.D.3d 1244); the Court of Appeals having reversed the Supreme Court, Appellate Division and confirmed the Findings and Order on November 27, 2018; and respondent Luis (Lou) Pena having been duly served on December 3, 2018 with a copy of the Court of Appeals’ decision and order with notice of entry, it is hereby
ORDERED, that such Findings and Order is fully effective on December 4, 2018;
ORDERED, that should Respondent Pena reapply for a license, he shall be credited for the 50 days that his license was revoked on April 27, 2015 until his penalty was stayed judicially on June 15, 2015, in addition to the 280 days that accrued from the date of his summary suspension on May 24, 2012 to the date his summary suspension was stayed on February 27, 2013; leaving a period of two years and 35 days before he may be permitted to reapply for any license, to wit, he may not reapply from December 4, 2018 through January 7, 2021, inclusive; and
ORDERED, that Respondent Pena shall be ineligible to participate in racing unless and until his fine is paid; and that failure to pay within 30 days, i.e., by his delinquency date of January 3, 2019, will result in the assessment of interest and/or a late payment charge and may result in other collection charges. |
| Suspended: 12/04/2018 to 01/07/2021 (766 days) |
| Fined: $343400.00 |
Note that the above data is current as of 1:32 PM EDT, Thursday, April 18, 2024 and subject to change as more information becomes available.
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