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California Professional License Defense Blog

Recent SEC action expands money managers’ due process rights

So-called “statutory disqualification” is unquestionably a punitive and even career-killing penalty for a financial adviser so tagged by the Financial Industry Regulatory Authority.

As we have noted in prior select blog posts at the California Century Law Group (with multiple offices spanning the state), FINRA is the agency arm operating under the umbrella of the U.S. Securities and Exchange Commission that regulates most of the country’s brokerage firms and money advisers. An adverse result in a disciplinary hearing can yield stark consequences for an individual alleged to have committed fraud or other wrongdoing against a customer.

Spotlighting California debt-collection licensing reform bill

It still has some ground to pave legislatively prior to becoming law, but a California Senate bill seeking a material adjustment in the debt-collection industry unquestionably has traction.

The would-be law with the shorthand designation of SB 908 garnered Senate approval earlier this week. That development moved it one step closer to formal enactment as a new measure regulating California's sprawling collection sphere.

FINRA might seem a bit leaner, but it still commands clout

The bulk of advisers, brokers, CPAs and other professionally licensed individuals working in the financial sector across the United States are regulated by the federal Financial Industry Regulatory Authority.

We have noted in select prior blog posts at the Century Law Group that FINRA routinely subjects industry players to investigations targeting various alleged acts of wrongdoing. FINRA hearings are formal and complex affairs, and those petitioned to appear can benefit greatly from the candid advice and diligent representation of proven license-defense attorneys.

CA attorney sanctions can be severe, include incarceration

The penalties that a California attorney facing administrative and legal challenges can face are both multiple and severe.

One attorney from the Los Angeles area knows that well. What he unquestionably discovered after criminal sentencing was pronounced against him recently in a Ventura County court was that practicing law in California while under suspension and even after disbarment was not a good idea.

Good standing: the threshold concern for every CA professional

California commands an economy that is unrivaled for its scope and diversity by any other American state. In fact, California’s economic clout is exceeded by only a few nations across the globe.

Given that stature, it is unsurprising that the state’s regulatory regime applicable to business activities is robust and comprehensive.

California license-defense matters cover a lot of ground

Noting that a California worker faces one or more regulatory hurdles owing to a matter focused on his or her professional license does not imply much.

After all, license challenges are extremely common in California, and they encompass terrain that is singularly broad.

Spotlighting FINRA investigatory processes

California’s financial professionals know a thing or two about regulation.

In fact, there is no question that money managers comprise a demographic that is as tightly policed by state and federal regulators as virtually any other licensed profession.

Always busy: CA State Bar weighs in on attorney discipline

California lawyers comprise a singular classification.

For starters, the attorney population in California is the largest by far of any American state. And California lawyers represent clients in markedly distinct spheres (e.g., from high-tech enclaves unrivaled anywhere else on earth to supersized agricultural bastions and more).

How accusations of substance abuse can harm California physicians

As a physician, you know you have a responsibility to your patients. Among other things, this means making sure that you don’t allow drugs or alcohol to impair your judgment or performance.

At times, this can be obvious. You don’t want to show up drunk to a surgery, like the doctor recently accused of trying to perform a C-section with a .30 BAC. But other concerns may be far subtler, and your license isn’t the only thing at stake.

The top 5 reasons your security clearance may be denied

If you want to work for the military or another government agency, you may need a security clearance. Even people who’ll never deal with sensitive information may need clearances simply to work in buildings that house some of the nation’s deepest secrets.

All told, more than 3 million federal employees rely upon their security clearances. So do another 1.2 million contractors. But government officials have turned away many others by deciding not to entrust them with access to sensitive information.

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