Horse Racing and Equine Law Attorney in New York

Who regulates horse racing in New York

Three layers of regulation apply to racing participants in New York:

• The Racing, Pari-Mutuel Wagering and Breeding Law. This is the governing New York statute. It creates the New York State Gaming Commission and establishes occupational licensing requirements, Section 220 for participants and employees at Thoroughbred race meetings and Section 307 for harness racing participants.
• Gaming Commission regulations (9 NYCRR, Subtitle T). The Commission's rules govern licensing, conduct on association grounds, claiming races, stewards' authority, and equine drug and medication restrictions, including the harness racing medication rules in Part 4120 and the Thoroughbred rules in Part 4043 (the latter now largely superseded by federal HISA rules for covered horses).
• The federal Horseracing Integrity and Safety Act (HISA), 15 U.S.C. § 3051 et seq. Since 2022–2023, HISA's Racetrack Safety Program and Anti-Doping and Medication Control (ADMC) Program apply to Thoroughbred racing nationwide, including at New York's NYRA tracks. Anti-doping enforcement is handled by the Horseracing Integrity and Welfare Unit (HIWU), not the state. Harness (Standardbred) racing remains under state Gaming Commission medication rules.

Knowing which regulator has jurisdiction over your case is the first step, because the procedures, deadlines, and appeal routes differ significantly between a state Gaming Commission proceeding and a HISA/HIWU proceeding.

Occupational licensing: applications, denials, and hearings

Nearly everyone who participates in New York racing (owners, trainers, assistant trainers, jockeys, drivers, grooms, exercise riders, veterinarians, farriers, and vendors operating on track grounds) must hold an occupational license from the Gaming Commission. Applications require fingerprinting, criminal history disclosure, and financial and background information.

The Commission may deny an application, or suspend or revoke an existing license, based on factors such as criminal convictions, prior racing violations in New York or other jurisdictions, false statements on the application, or a finding that the applicant's participation would be inconsistent with the public interest or the integrity of racing. A denial in New York can have reciprocal consequences in other racing states.

If your license is denied, suspended, or revoked, the general process looks like this:

1. Notice. You receive a written notice stating the grounds for the denial or the charges against you, along with your hearing rights and the deadline to request a hearing. Missing that deadline can waive your right to contest the action.
2. Adjudicatory hearing. Contested matters are heard under Article 3 of the New York State Administrative Procedure Act, typically before a hearing officer. You may be represented by counsel, present documents and witnesses, and cross-examine the Commission's witnesses.
3. Hearing officer report and Commission determination. The hearing officer issues findings and a recommendation, which the Commission may adopt, modify, or reject in its final determination.
4. Judicial review. A final Commission determination can be challenged in New York Supreme Court through a proceeding under CPLR Article 78. Under CPLR 217, an Article 78 proceeding generally must be commenced within four months of the final determination, a short and unforgiving deadline.

Stewards' rulings and disciplinary matters

Day-to-day discipline at the track (fines, short suspensions, disqualifications, scratches) is often imposed first by the stewards (Thoroughbred) or judges (harness). Stewards' rulings can typically be appealed to the Gaming Commission, and a licensee may seek a stay of the penalty pending appeal. Because suspensions take effect quickly and purse money may be redistributed, acting fast after an adverse ruling matters. Common disciplinary issues include:

• Riding and driving infractions and race-day conduct
• Claiming race disputes and ownership transfer issues
• Failure to disclose ownership interests or undisclosed "hidden" ownership
• Program and entry violations
• Conduct detrimental to racing charges

Medication violations: HISA/HIWU vs. state rules

Which set of drug rules applies depends on the breed and the program:

• Thoroughbred racing (Aqueduct, Belmont, Saratoga): Since the ADMC Program took effect in 2023, anti-doping and controlled medication violations are charged and prosecuted by HIWU under HISA's federal rules rather than under the old state rules. Trainers face a presumption of responsibility for their horses' test results, provisional suspensions can be imposed before a final decision, and cases proceed through HISA's adjudication process, with final decisions reviewable by a Federal Trade Commission administrative law judge under 15 U.S.C. § 3058. Defenses may involve chain-of-custody challenges, split-sample (B-sample) testing, laboratory accreditation and procedure issues, environmental contamination, and mitigation of sanctions.
• Harness racing (Yonkers Raceway and other Standardbred tracks): Medication violations remain governed by the Gaming Commission's rules in 9 NYCRR Part 4120 and are adjudicated through the state hearing process described above, with Article 78 review afterward.

Penalties in either system can include fines, suspensions, purse forfeiture, and points or aggravation that increase sanctions for repeat violations. Because a trainer's livelihood depends on licensure in multiple states, even a "minor" overage case deserves a serious defense.

NYRA exclusions

Separate from Commission licensing, the New York Racing Association (NYRA), which operates Aqueduct, Belmont Park, and Saratoga, has authority to exclude individuals from its grounds. An exclusion can shut a licensed owner or trainer out of the state's premier Thoroughbred tracks even while the person holds a valid license. Challenging an exclusion raises distinct legal questions about the scope of a racing association's exclusion power and the process owed to licensees, and New York courts have addressed these issues in litigation between excluded licensees and NYRA. If you have received an exclusion notice, get legal advice before responding.

Racehorse syndicates, partnerships, and co-ownership disputes

Most racehorses in New York are owned through partnerships, LLCs, or syndicates. These structures raise recurring legal issues that we handle as business counsel and litigators:

• Formation and structure. A well-drafted LLC operating agreement or syndicate agreement should address capital calls for training and vet bills, decision-making authority over race entries and trainer selection, purse distribution, insurance, breeding rights, and (critically) what happens when one owner wants to sell the horse and others do not. Depending on how interests are marketed, syndicate shares may also implicate securities laws.
• Deadlock and disputes among co-owners. Disagreements over whether to race, rest, sell, or retire a horse can escalate quickly when a horse is winning, or losing. These matters overlap with our partnership dispute practice.
• Managing-partner misconduct. A syndicate manager who controls the books, the trainer relationship, and the sale decisions owes duties to co-owners. Claims for undisclosed self-dealing, hidden commissions on sales, or misapplied funds may be pursued as breach of fiduciary duty claims.

Trainer, jockey, and stable contracts

Training agreements, jockey mounts, boarding contracts, and stallion or breeding contracts generate disputes over unpaid fees, care standards, and liens. Notably, New York law gives stable keepers and those who board or care for animals lien rights for unpaid charges, which can result in a horse being held (or sold) over a billing dispute. If you are on either side of an unpaid-fee or care dispute, our breach of contract and business litigation practices cover these claims. For disputes arising out of the sale of a horse itself (misrepresented soundness, undisclosed medical history, failed pre-purchase exams) see our dedicated page on horse purchase and sale disputes.

Frequently asked questions

• My New York racing license application was denied. Can I appeal?

  Generally yes. You can request an administrative hearing before the Gaming Commission, and if the final determination is adverse, you can seek judicial review through a CPLR Article 78 proceeding, which usually must be filed within four months of the final determination. The notice you receive will state your hearing rights and deadlines. Do not let them lapse.

• My horse tested positive at Aqueduct or Belmont. Who prosecutes the case?

  For Thoroughbred racing, anti-doping and medication cases are now handled by HIWU under HISA's federal ADMC rules, not by the state Gaming Commission. You typically have a short window to request B-sample testing and to respond to charges, and a provisional suspension may be imposed early in the case. For harness racing, the state Commission still prosecutes medication cases under 9 NYCRR Part 4120.

• Can NYRA ban me even though I have a valid Gaming Commission license?

  NYRA asserts the authority to exclude individuals from its tracks separately from Commission licensing. Exclusions can be challenged, but the analysis is fact-specific, and prompt legal advice is important.

• Where can I read the actual rules?

  Primary sources include the New York State Gaming Commission (statute, regulations, and rulings) and the Horseracing Integrity and Safety Authority (racetrack safety and ADMC rules).

How the Law Offices of Albert Goodwin can help

The Law Offices of Albert Goodwin is a New York business law firm handling contract, ownership, fiduciary duty, and regulatory disputes in New York's state and federal courts and before administrative bodies. For racing and equine clients, that means representation in licensing and disciplinary matters, co-ownership and syndicate disputes, trainer and boarding fee litigation, and horse and stable transactions. Where a matter calls for specialized input (for example, veterinary experts in a medication case or tax professionals in structuring an ownership vehicle), we coordinate with the appropriate specialists rather than guessing.

If you are facing a Gaming Commission or HIWU proceeding, a NYRA exclusion, or a dispute with co-owners, a trainer, or a buyer or seller, we can review your situation and explain your options and deadlines.

Call us for a consultation at 212-233-1233 or email [email protected].