BRO-3-03:CO:R:C:E 225071 AJS
Mr. Anthony B. Borowiecki
Mohawk Customs and Shipping
P.O. Box 3065
Syracuse, NY 13220-3065
RE: Use of customs brokers' name without trade or fictitious name;
19 CFR 111.30(c); 19 U.S.C. 1641(g)(1); 19 CFR 111.30(d); 19 U.S.C.
1641(g)(1)(B).
Dear Mr. Borowiecki:
This is in reply to your letter of November 12, 1993,
concerning brokerage names.
FACTS:
Your are currently operating as a Customs broker under the
name, "Anthony B. Borowiecki - dba Mohawk Customs and Shipping."
Your letter states that written authorization is attached along
with other supporting documentation regarding your permit to
conduct Customs business. This information is not contained in our
file. However, we will assume the accuracy of this information for
the purposes of this request.
In proposal one, your letter requests whether regular Customs
business may continue to be conducted as "Anthony B. Borowiecki-
dba Mohawk Customs and Shipping", but also whether you may prepare,
file, and invoice for Customs entries and other related functions
under the name of only "Anthony B. Borowiecki" for one client. You
assert that employees already authorized to sign documents under
the dba would also be considered authorized to carry out similar
functions under your name without the dba. Entries would be
carried out under the same filer code, DE6, and records kept,
Customs related as well as financial, commingled, as indeed the
businesses would in fact be the same business.
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In proposal two, your letter alternatively requests whether
you may operate similar to the first proposal, but use another
additional dba, for example "Anthony B. Borowiecki dba MCS
Brokers". Again you assert that the same conditions as to
employees, authorizations, and record keeping would be consistent
with operating one business. In this case, an additional dba would
be properly executed and filed with the county prior to seeking the
necessary approval from the Customs Service.
ISSUE:
Whether the use of the above described proposals is proper
under 19 CFR 111.30(c).
LAW AND ANALYSIS:
19 CFR 111.30(c) states that a broker who changes his name, or
who proposes to operate under a trade or fictitious name in one or
more states within the district in which he has been granted a
permit and is authorized by state law to do so, shall submit
evidence of his authority to use such name. The name shall not be
used until approval of the Commissioner has been received. In the
case of a trade or fictitious name, the broker shall affix his own
name in conjunction with each signature of the trade or fictitious
name when signing Customs documents.
In proposal one, you request basically whether only the name
"Anthony B. Borowiecki" may be used to prepare, file and invoice
entries and for other related functions, and not the trade or
fictitious name of "Mohawk Customs and Shipping" for one client .
Your request states that you are operating as a Customs broker
under the name "Anthony B. Borowiecki - dba Mohawk Customs and
Shipping" and would continue to do so in all other cases. Failure
to use the full name under which your license was granted would be
an attempt to change your name as a broker. In order to change
your name, approval of the Commissioner of Customs must be sought.
Therefore, if you wish to operate only under the name "Anthony B.
Borowiecki" you must file for a broker name change under section
111.30(c). We note that if a new name is approved by the
Commissioner, you may no longer operate under your previous name.
The use of only the name "Anthony B. Borowiecki" would also
create needless confusion as to under which broker name you were
conducting business. 19 U.S.C. 1641(g)(1) requires brokers to file
certain reports. See also 19 CFR 111.30(d). Section 1641(g)(1)(B)
requires each individual broker to
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state the name under which its business is conducted in these
reports. Under proposal one, you would be conducting
business under two different versions of your broker name and thus
unable to properly file these reports. In addition, the use of two
different names would create confusion in the field as to under
which name you were conducting Customs business. Therefore, we
view it as essential that Customs business be conducted under only
the full broker name specified on your broker license (i.e.,
Anthony B. Borowiecki - dba Mohawk Customs and Shipping).
In proposal two, you request basically whether another
additional dba such as "MCS Brokers" may be used rather than
"Mohawk Customs and Shipping" for one client. As with proposal
one, this change would also be a name change requiring the approval
of the Commissioner of Customs. Therefore, if you wish to operate
under the name described in proposal two, you must also file for a
broker name change under section 111.30(c). Inasmuch as this
change would regard a new trade or fictitious name, evidence of
your authority to use this new name must also be submitted. We
note that if a new trade or fictitious name is approved, you may no
longer operate under your previous name.
HOLDING:
The use of either proposal one or two is not permissible under
19 CFR 111.30(c). A broker may operate only under one broker name,
and a broker who is operating under an approved trade or fictitious
name must use that full name (i.e., trade and legal) in signing
Customs documents. If you desire to conduct business under either
of the proposed new names, approval of the Commissioner of Customs
must be sought.
Sincerely,
John Durant, Director
Commercial Rulings Division