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
California Department of Financial Protection and Innovation (DFPI) License Defense
The California Department of Financial Protection and Innovation (DFPI)
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 a recognized leader in representing California mortage
lenders, Califfornia deferred deposit lenders, and California mortgage
loan originators 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
California lender employees and real estate brokers and salespersons who
originate mortgages must 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.
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.