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ethics & professional responsibility Archives

Already tough FINRA sanctions just got tougher for brokers

California’s many financial advisers who hold professional licenses in their field and manage clients’ investments have always been under a regulatory spotlight. A plethora of state and federal laws closely govern their conduct and render them potentially liable for alleged misconduct across the full spectrum of services they provide.

A fee dispute can challenge virtually any California professional

You’re simultaneously focused on many things as a licensed California professional well established and respected in your field. You obviously want to impress your clients and customers, leaving them well satisfied with both your work product and the tailored outcomes you craft that optimally promote their interests.

You've got your security clearance: There are no more issues, right?

Although most jobs and career opportunities across California do not require applicants to obtain security clearances, legions do. It is routinely the case that many people working in the military, federal and state agencies, contracting firms and other entities must clear hurdles to secure the valuable right to work conferred through clearance.

CA health care provider fights back against CDSS license revocation

We noted in our immediately preceding blog post the vast sweep of regulatory powers wielded by the California Department of Social Services. As we stressed in our February 26 entry, the CDSS "is not to be trifled with."

CA Dept. of Social Services: How far do its powers extend?

California businesses spanning virtually every type understand well the overlay of regulations on their industries generally and on them in individualized fashion. Legislators in Sacramento and working across the state are a collectively busy bunch, which yields material implications for commercial entities tasked with regulatory compliance.

CA Medical Board increasingly aggressive in meting out discipline

Is there any reason for licensed California medical professionals to be concerned with the aggressive stance taken by the state's Medical Board in targeting individuals for disciplinary actions?

Wells Fargo case underscores need for strong license defense

Positive public relations hasn't exactly been a strong suit for California-based Wells Fargo the past couple years. Indeed, the bank has been under a withering spotlight for both allegations and proven charges focused on various types of consumer fraud.

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