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California Professional License Defense Blog

What is FINRA’s broker “exam cycle,” and how often does it occur?

The exams never cease for some industry professionals.

Take licensed financial advisers working in brokerage firms in California and across the country, for instance. Their employers are periodically subjected at the entity level to examinations by the federal Financial Industry Regulatory Authority.

Securing experienced legal help in CA bar disciplinary hearings

We note on our website at the California Century Law Group that “the assistance of a lawyer is not necessarily required when facing matters before the state bar.”

That professional assessment delivered by a license-defense law firm operating out of multiple offices across the state and with attorneys collectively commanding decades of strong advocacy comes with a caveat, though.

How does one provide “extraordinary” help to FINRA?

If you’re a licensed California financial professional who helps clients invest and grow savings, you’re undoubtedly familiar with the acronym FINRA.

Spelled out, that shorthand designation denotes the federal Financial Industry Regulation Authority.

What CA financial professionals need to know about FINRA

Today’s blog post focuses on a dominant actor in the industry that oversees and regulates the country’s broker dealers and other financial advisers.

More people certainly take note of that entity via its shortened abbreviation rather than by the formally designated tag of Financial Industry Regulatory Authority.

Is California attorney disbarment or suspension a rare occurrence?

It can be quickly and emphatically noted in response to today’s above-posed blog headline query that California regulators are anything but lax when it comes to attorney discipline.

Put another way: Any person thinking that legal authorities only occasionally clamp down hard on select attorneys would be wrong.

CA realtors: Get a license and you’re ready to go, right?

You saw an attractive career opportunity meshing with your personality and skill set, and you took it. You duly fulfilled all the regulatory requirements posited for becoming a realtor in California, and now you’re ready to embark on a successful career, salesperson’s license in hand.

Wait just a moment. There might be a bit more to it than that.

Why is student debt a core issue for a licensed CA professional?

Americans collectively shoulder sizable debt from many sources. Mortgage and rent outlays are an obvious and recurring obligation. Legions of people struggle with credit card exactions. Material and unforeseen costs routinely surface for individuals challenged by unexpected medical bills.

And then there is student loan debt, an onus that reportedly saddles Americans to a greater degree than it does the residents of any other country. Indeed, the debt levels amassed by some individuals in the United States to secure necessary training/degrees and professional credentials exceed the total price tag for a family home.

What is medical peer review, and what are its implications?

We spotlight on our license-defense website at the California Century Law Group a singular proceeding that sometimes occurs in the medical profession.

That is hospital peer review, a process “designed to address concerns about conduct or quality of care provided by a doctor … or other type of medical specialist.”

Recent White House spat features security clearance intrigue

Democrats and Republicans on Capitol Hill are acting in ways that children fighting over a toy in a sandbox might readily understand.

Accusations. Denunciations. Mutual finger pointing.

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