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. We...
It’s no secret: California regulators of many professions oversee license holders with close scrutiny. Moreover, they couple that oversight with vast enforcement powers, which they are not averse to wielding. California professionals are well accustomed to a sometimes...
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...
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...
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,...
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...
We spotlight on our license-defense website at the California 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...
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. In other words, it’s business as usual in Washington, D.C., but with a recent...
It’s imminent.What is just around the near-calendar bend is a State Bar of California study focused on the prospect of mandatory malpractice insurance for all of the state’s practicing attorneys. That is a huge population. Indeed, California’s...
Sometimes seemingly endless hours. Imminent deadlines. Scrambles for accurate information. Intense competition. Family absences.And client disapproval. Those and many other pressures are cited in studies and reports chronicling the types of challenges that attorneys...
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