A recently concluded audit of the State Bar of California heaped an ample amount of criticism on the state’s regulatory legal arm. Bar-leveled complaints were reportedly many and varied. Most damning was perhaps this, states one recent in-depth media account: “The...
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Ethics & Professional Responsibility
Ever-constant focus on California’s Medical Board
On Behalf of Century Law Group, LLP | May 6, 2021 | Ethics & Professional Responsibility
Is it a lax and overly permissive regulator centrally operating in California’s health care sphere? Or, conversely, is it a harsh and exactions-oriented overseer of doctors, nurses and other medical practitioners employed within that key professional realm? Clearly,...
Both varied and busy: FINRA’s top 2020 enforcement actions
by Century Law Group, LLP | Apr 28, 2021 | Ethics & Professional Responsibility
Financial professionals in California and nationally who work on behalf of individual and institutional investors must often feel as though their efforts as money managers proceed under a withering spotlight. That glaring heat, while only a figurative manifestation,...
Select securities brokers now under especially heavy FINRA scrutiny
On Behalf of Century Law Group, LLP | Apr 8, 2021 | Ethics & Professional Responsibility
The federal Financial Industry Regulatory Authority looms large when it comes to commanding oversight levied in investigative and disciplinary actions against financial professionals. In fact, the authority wielded by FINRA officials in such matters is vast and often...
Is California attorney punishment impartially doled out?
On Behalf of Century Law Group, LLP | Mar 15, 2021 | Ethics & Professional Responsibility
It is unquestionably the case that attorneys operating in every sphere and locale across California conduct themselves ethically and with unstinting focus on their clients’ best interests. After all, the profession they practice is a calling, not just a job. Garnering...
The CDSS: an agency with sweeping regulatory powers, oversight
On Behalf of Century Law Group, LLP | Feb 22, 2021 | Ethics & Professional Responsibility
The California Department of Social Services is unquestionably on the short list of state agencies that most prominently command truly broad-based powers over a vast and varied occupational realm. That sphere encompasses individuals and entities providing community...
Heightened scrutiny on California debt-collection industry
On Behalf of Century Law Group, LLP | Feb 16, 2021 | Ethics & Professional Responsibility
Flying under the regulatory radar has never been the norm for California’s sprawling debt-collection industry. In fact, that specialized occupational sphere has always been an especially scrutinized target for state business officials and governing bodies. Like the...
Recent SEC action expands money managers’ due process rights
On Behalf of Century Law Group, LLP | Jul 17, 2020 | Ethics & Professional Responsibility
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...
Spotlighting California debt-collection licensing reform bill
On Behalf of Century Law Group, LLP | Jul 2, 2020 | Ethics & Professional Responsibility
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...
FINRA might seem a bit leaner, but it still commands clout
On Behalf of Century Law Group, LLP | Jun 24, 2020 | Ethics & Professional Responsibility
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...
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