Gaming Commission Rulings Database
| Licensee: ALAN W. HOFFMAN |
| Licensed As: GROOM |
| Notice Number: MO 65-2016 |
| Racing Type: Harness |
| Track: Main Office |
| Notice Date: 09/27/2016 |
| Status: CLOSED |
| Ruling Type: Suspension |
| Rule(s): 4119.7, 4119.8, 4119.9(a), 4120.2, 4120.3 and 4120.4, 4111.1, 4111.3 |
| Ruling Text: ****AMENDED RULING-FINDINGS AND ORDER****
Respondent Alan W. Hoffman (“Respondent”) having been summarily suspended by the New York State Gaming Commission (“Commission”) on April 6, 2016, pursuant to Racing, Pari-Mutuel Wagering and Breeding Law ("Racing Law") §§ 309, 310 and 321, 9 NYCRR §§ 4102.2, 4119.7(b), 4119.8, 4119.9(a), 4120.2, 4120.3 and 4120.4 and State Administrative Procedure Act § 401 pending a final disposition by the Commission regarding whether Respondent should be fined in an amount not exceeding $25,000 per violation, have his licenses to participate in pari-mutuel racing suspended or revoked and he be excluded from all New York State racetracks whether as a licensee, participant, or patron pursuant to Section 309(2) of the Racing Law and § 4120.5 and the other applicable Commission rules at 9 NYCRR, in that, allegedly:
1. The horse “Baltimor AS,” trained by Respondent and raced in the 3rd race at Monticello Raceway on March 16, 2016, had the substance cobalt present, in a race-day blood sample taken from the horse, at a concentration (including an assessment of the measurement uncertainty and imprecision of the quantitative threshold) in plasma in excess of 300 ng/ml, as determined by the laboratory conducting tests for the Commission, in violation of 9 NYCRR §§ 4120.3(a)(4), 4120.3(c) and 4120.4(a);
2. Respondent falsely and fraudulently misrepresented that he was not the trainer of the horse “Baltimor AS” in the 3rd race at Monticello Raceway on March 16, 2016, in violation of 9 NYCRR § 4119.7(a)(3) and/or 4119.9(a);
3. Respondent misrepresented that another person was the actual trainer of the horse “Baltimor AS” in the 3rd race at Monticello Raceway on March 16, 2016, to wit, after arranging with his owner to claim such horse on March 9, 2016 and obtaining possession of the horse after such claim, he independently and without any interaction with the alleged trainer: (a) supervised and directly arranged or provided all of the care, custody and control of the horse; (b) made all decisions related to the training of the horse; (c) alone, or together with the owner, decided the date and classification to next enter the horse to race; (d) entered the horse to race on March 16, 2016; (e) named Dennis Washington as the trainer of the horse in such entry when Mr. Washington had neither trained the horse nor knew of the entry; (f) never informed Mr. Washington of the entry of the horse; (g) handled all other arrangements (e.g., selecting a driver, selecting and equipping the horse with tack and sulky, handling the horse in the paddock) for the horse to race on March 16, 2016; (h) exercised such authority and responsibility and performed such actions solely as a paid agent or employee of such owner and not as an agent or employee of a trainer; and (i) knowingly caused and permitted such horse to race with Dennis Washington as the record trainer on such date; in violation of 9 NYCRR §§ 4111.1(f), 4111.3, 4119.7(a)(3), and/or 4119.9(a);
4. Respondent’s character and general fitness are such that, based on the foregoing and his history of rule violations, his participation in pari-mutuel racing is inconsistent with the public interest, convenience and necessity and with the best interests of racing generally, contrary to Racing Law § 309(2) and 9 NYCRR § 4119.7(b); and
5. Respondent should be excluded from all New York race tracks whether as a licensee, participant or patron, based on the foregoing, because his conduct at a race track in New York and elsewhere has been detrimental to the best interests of racing in violation of Racing Law § 309(2) and 9 NYCRR § 4119.8; and
The respondent having received proper notice and having failed to appear at his hearing conducted on June 20, 2016, and having retained counsel and failed to appear at his final hearing date of July 18, 2016, and the Hearing Officer having rendered her report on July 29, 2016, which is attached and incorporated herein;
THE COMMISSION, after due deliberation, having met on September 26, 2016 and adopted the Hearing Officer’s findings of facts and conclusions of law, with the clarification that the charges listed in paragraphs 1 through 5 on pages 1-2 of the Report of the Hearing Officer are a listing of the charges made against Respondent;
THEREFORE, upon the record, the Report of the Hearing Officer and the findings and conclusions adopted herein; it is hereby:
ORDERED, that the alleged violations are established as follows:
1. Respondent violated 9 NYCRR §§ 4120.3(a)(4), 4120.3(c) and 4120.4(a) in that the horse “Baltimor AS,” trained by Respondent and raced in the 3rd race at Monticello Raceway on March 16, 2016, had the substance cobalt present, in a race-day blood sample taken from the horse, at a concentration (including an assessment of the measurement uncertainty and imprecision of the quantitative threshold) in plasma in excess of 300 ng/ml, as determined by the laboratory conducting tests for the Commission.
2. Respondent falsely and fraudulently misrepresented that he was not the trainer of the horse “Baltimor AS” in the 3rd race at Monticello Raceway on March 16, 2016, in violation of 9 NYCRR § 4119.7(a)(3) and 4119.9(a);
3. Respondent misrepresented that another person was the actual trainer of the horse “Baltimor AS” in the 3rd race at Monticello Raceway on March 16, 2016, to wit, after arranging with his owner to claim such horse on March 9, 2016 and obtaining possession of the horse after such claim, he independently and without any interaction with the alleged trainer: (a) supervised and directly arranged or provided all of the care, custody and control of the horse; (b) made all decisions related to the training of the horse; (c) alone, or together with the owner, decided the date and classification to next enter the horse to race; (d) entered the horse to race on March 16, 2016; (e) named Dennis Washington as the trainer of the horse in such entry when Mr. Washington had neither trained the horse nor knew of the entry; (f) never informed Mr. Washington of the entry of the horse; (g) handled all other arrangements (e.g., selecting a driver, selecting and equipping the horse with tack and sulky, handling the horse in the paddock) for the horse to race on March 16, 2016; (h) exercised such authority and responsibility and performed such actions solely as a paid agent or employee of such owner and not as an agent or employee of a trainer; and (i) knowingly caused and permitted such horse to race with Dennis Washington as the record trainer on such date; in violation of 9 NYCRR §§ 4111.1(f), 4111.3, 4119.7(a)(3), and 4119.9(a);
4. Respondent’s character and general fitness are such that, based on the foregoing and his history of rule violations, his participation in pari-mutuel racing is inconsistent with the public interest, convenience and necessity and with the best interests of racing generally, contrary to Racing Law § 309(2) and 9 NYCRR § 4119.7(b); and
5. Respondent should be excluded from all New York race tracks whether as a licensee, participant or patron, based on the foregoing, because his conduct at a race track in New York and elsewhere has been detrimental to the best interests of racing in violation of Racing Law § 309(2) and 9 NYCRR § 4119.8;
ORDERED, that a life-time suspension be, and hereby is, imposed upon the occupational license issued by the Commission to Respondent;
ORDERED, that during his period of suspension Respondent shall not directly or indirectly participate in New York pari-mutuel horse racing, is denied the privileges and use of the grounds of all racetracks, and is forbidden to participate in any share of purses or other payment. This restriction includes that the privileges of the grounds and permission to participate in pari-mutuel racing in New York State shall be denied to any horse that is owned or trained by respondent, or by any individual who serves as respondent’s agent or employee, or for which respondent is directly or indirectly involved in any arrangement to train, enter, start, care for, record activities or expenses, invoice or collect fees or payments, manage funds, employ or insure workers, provide advice or information, or otherwise assist in relation to any aspect of the possession and training of the horse; and
ORDERED, that the Commission hereby requests that all race tracks, as required by 9 NYCRR § 4119.8, shall take immediate steps by whatever means are reasonably required to expel and exclude Respondent from their tracks.
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