Ethics & Professional Responsibility

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...

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,...

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,...

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...

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 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...

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...

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...