Financial Professionals

We represent various financial professionals, including insurance producers, real estate brokers and salespersons, FINRA licensed brokers and investment advisors, holders of mortgage loan originator endorsements, California finance lenders and California deferred deposit transaction lenders. We have an excellent track record of rescuing licenses from summary revocation, avoiding license discipline, reducing massive fines to small amounts, and securing licensure for individuals with difficult background issues.

Insurance Broker Defense

We are one of the top insurance broker license appeal and defense firms in California. We have stopped summary revocations and summary denials, successfully appealed adverse decisions in Superior Court, and secured licensure for individuals with serious background problems. Our long experience with difficult Department of Insurance matters gives you a strategic advantage.

Real Estate Broker and Salesperson Defense

We aggressively represent real estate brokers and salespersons before the Bureau of Real Estate to appeal license denials, fight license revocation, deal effectively with licensee investigations, appeal adverse decisions, and seek reinstatement of revoked licenses. Matters we have handled successfully include audits, criminal convictions that trigger license denials or discipline, other license discipline that results in real estate license discipline, civil lawsuits that trigger license discipline, and allegations of aiding unlicensed practice.

California Division of Corporations Licensed Lender Defense

The California Division of Corporations (formerly Department of Corporations) licenses California finance lenders and payday lenders, among others. We appeal the denial of licenses, fight disciplinary sanctions and challenge large punitive fines. We can also provide representation for investigations and offer regulatory compliance checks to avoid problems before scheduled examinations. We are the recognized leader in representing California deferred deposit lenders in administrative actions, saving licenses and preventing millions in fines.

California Certified Public Acccountant and PCAOB Defense

Certified Public Accountants are among the most strictly regulated of the professions. We can defend licensees in Board investigations, appeal the denial of licenses, and defend against CPA license discipline at all stages, including Board of Accountancy Enforcement Advisory Committee meetings and administrative hearings. For CPAs who are the subject of PCAOB (Public Company Accounting Oversight Board) disciplinary actions, we defend registered accounting firms and associated CPAs.

Mortgage Loan Originator Endorsement Appeals and Defense

Recently-enacted rules require California lender employees and real estate brokers and salespersons who originate mortgages to hold a mortgage loan originator endorsement. We have been among the leading firms to defend the early cases that have been litigated in this area, including successfully obtaining a license for a real estate salesperson convicted of felony attempted murder. We can provide expert advice about reporting adverse actions on the form MU-4, drafting explanations, appealing MLO endorsement denials, and defending MLO endorsements to prevent revocation.

FINRA Defense

We represent associated brokers and investment advisors who are subject to FINRA discipline due to complaints or adverse actions reported to FINRA. FINRA investigations are serious matters, carried out routinely by deposition and followed by an administrative hearing before a FINRA panel. Fines can be very large and a FINRA bar can end a financial advisor's career.

To obtain our expert legal assistance in financial profession matters, call 800-474-6911 or 714-558-8488 for a consultation.

Orange County Main Office:
5000 Birch Street
Suite 7000
Newport Beach, CA 92660
Los Angeles County Office:
18000 Studebaker Road
Suite 700
Cerritos, CA 90703
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