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 [nap_names...
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...
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 [nap_names...
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...
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...
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....
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. That just...
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...
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...
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,...
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