15260 Ventura Blvd. Suite 1200 Sherman Oaks, Los Angeles, CA 91403 | (818) 570-0836 | (510) 852-9296
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California Financial License Defense Attorney

We defend licensed financial professionals in California

California Financial License Defense Case Results

In the Matter of the California Department of Insurance Accusation Against Insurance Agent: The California Department of Insurance filed an Accusation against a Los Angeles based Insurance company. The client previously received FINRA discipline due to failing to report unpaid debts. The client entered into a Consent Agreement with FINRA that he failed to report to the California Department of Insurance. The client presented extensive character rehabilitation, mitigation and evidence of future prospects via a settlement proposal. The California Department of Insurance entered into a Stipulated Agreement (settlement) with the client. The client received a Restricted Insurance License.

In the Matter of the California Department of Insurance Accusation Against Insurance Agent: The California Department of Insurance filed an Accusation against a San Francisco Bay-Oakland based Insurance Agent employed at an international bank. The client was convicted of misdemeanor Domestic Battery. The client only reported the criminal conviction to FINRA, but failed to report the conviction to the California Department of Insurance. The matter proceeded to Hearing before an Administrative Law Judge from the California Office of Administrative Hearings in Oakland. At Hearing, the client submitted evidence of character rehabilitation. The client demonstrated that he was not a danger to the public as an Insurance Agent. The Administrative Law Judge granted the Insurance Agent probation.

In the Matter of the California Department of Insurance Accusation Against Insurance Agent: The California Department of Insurance filed an Accusation against a San Francisco Bay-Oakland based Insurance Agent employed at a national insurance company. The client had three Driving Under the Influence of Alcohol (DUI) convictions in a two year period of time. The client was also alleged to have failed to notify the California Department of Insurance of his criminal convictions. The California Department of Insurance entered into a Stipulated Agreement (settlement) with the client. The client received a Restricted Insurance License.

In the Matter of the California Department of Insurance Statement of Issues (License Denial) Against Prospective Insurance Agent Applicant: A Los Angeles based State Farm employee sought to obtain an Insurance License. However, the client was denied an Insurance License due to a five year old misdemeanor conviction for Selling Counterfeit merchandise. The client presented extensive character rehabilitation, mitigation and evidence of future prospects via a settlement proposal. The California Department of Insurance entered into a Stipulated Agreement (settlement) with the client. The client received a Restricted Insurance License.

In the Matter of the California Department of Insurance Statement of Issues (License Denial) Against Prospective Insurance Agent Applicant: A Los Angeles based Insurance company employee sought to obtain an Insurance License. However, the client was denied an Insurance License due prior discipline imposed on his Real Estate Salesperson License from the California Bureau of Real Estate. The client presented extensive character rehabilitation, mitigation and evidence of future prospects via a settlement proposal. The Department of Insurance entered into a Stipulated Agreement (settlement) with the client. The client received a Restricted Insurance License.

In the Matter of the California Department of Insurance Statement of Issues (License Denial) Against Prospective Insurance Agent Applicant: A Los Angeles based Insurance company employee sought to obtain an Insurance License. However, the client was denied an Insurance License due five misdemeanor criminal convictions that he failed to report on his application to the California Department of Insurance. The misdemeanor criminal convictions included three Driving Under the Influence of Alcohol (DUI) convictions and two Driving on Suspended License convictions. The client presented extensive character rehabilitation, mitigation and evidence of future prospects via a settlement proposal. The Department of Insurance entered into a Stipulated Agreement (settlement) with the client. The client received a Restricted Insurance License.

In the Matter of the California Department of Insurance Statement of Issues (License Denial) Against Prospective Insurance Agent Applicant: A San Jose based Insurance company employee sought to obtain an Insurance License. However, the client was denied an Insurance License due three misdemeanor criminal convictions. The misdemeanor criminal convictions included two Petty Theft convictions and one Possession of a Controlled Substance conviction. The matter proceeded to Hearing before an Administrative Law Judge from the California Office of Administrative Hearings in Oakland. The client presented evidence of substance abuse rehabilitation, character rehabilitation and solid future prospects. The Administrative Law Judge granted the client a Restricted Insurance License.

In the Matter of the California Department of Insurance Statement of Issues (License Denial) Against Prospective Insurance Agent Applicant: An Orange County based Insurance company employee sought to obtain an Insurance License. However, the client was denied an Insurance License due two felony criminal convictions and one misdemeanor criminal conviction. The felony criminal convictions were for Commercial Burglary and Forgery. The misdemeanor criminal conviction was for Possession of a Controlled Substance. The most recent conviction occurred nine years prior to the application. The matter proceeded to Hearing before an Administrative Law Judge from the California Office of Administrative Hearings in Oakland. The client presented evidence of substance abuse rehabilitation, character rehabilitation and solid future prospects. The Administrative Law Judge granted the client a Restricted Insurance License.

In the Matter of the California Department of Insurance Statement of Issues (License Denial) Against Prospective Insurance Agent Applicant: A Los Angeles employee of a large, national Insurance Company, sought to obtain an Insurance License. However, the client was denied an Insurance License due four criminal convictions that occurred in the client’s last year of college. The misdemeanor criminal convictions were for Driving Under the Influence of Alcohol (DUI), Public Intoxication, Disorderly Conduct and Urinating in Public. The most recent conviction occurred five years prior to the application. The matter proceeded to Hearing before an Administrative Law Judge from the California Office of Administrative Hearings in Los Angeles. The client presented evidence of remorse, character rehabilitation and positive future prospects. The Administrative Law Judge granted the client a Restricted Insurance License.

In the Matter of the California Bureau of Real Estate Accusation Against Real Estate Salesperson: The California Bureau of Real Estate filed an Accusation against a Los Angeles based Real Estate Salesperson employed at a high powered Beverly Hills Real Estate firm. The client was convicted of misdemeanor Second Offense Driving Under the Influence of Alcohol (DUI) and misdemeanor Tampering With a Vehicle. The client failed to report the convictions to the California Bureau of Real Estate. The matter proceeded to Hearing before an Administrative Law Judge from the California Office of Administrative Hearings in Los Angeles . At Hearing, the client submitted evidence of character rehabilitation. The client demonstrated that she was not a danger to the public as a Real Estate Agent. The Administrative Law Judge granted the Real Estate Salesperson a Restricted License with probation.

In the Matter of the California Bureau of Real Estate Accusation Against Real Estate Broker: The California Bureau of Real Estate filed an Accusation against an Orange County Real Estate Broker. The Accusation was based on the concept of reciprocal discipline .The client previously received discipline from the California Bureau of Real Estate Appraisers. The client failed to report the discipline to the BRE. The client submitted evidence of character rehabilitation. The Real Estate Broker entered into a Stipulated Agreement (settlement) with the BRE. The client received a BRE Restricted License and probation.

In the Matter of the California Bureau of Real Estate Statement of Issues (License Denial) Against Prospective Real Estate Salesperson Applicant: The California Bureau of Real Estate denied the Real Estate Salesperson license of a Bakersfield Real Estate company employee. The denial was based on the revocation of the client’s Registered Nursing License from the California Board of Registered Nursing. Furthermore, the client had been convicted of a criminal offense from Diverting Medication from the hospital where she had been previously employed. The matter proceeded to Hearing before an Administrative Law Judge from the California Office of Administrative Hearings in Los Angeles. At Hearing, the client submitted evidence of character rehabilitation. The client demonstrated that she was not a danger to the public as a Real Estate Agent. The Administrative Law Judge granted the client a Restricted Real Estate Salesperson License with probation.

In the Matter of the California Bureau of Real Estate Statement of Issues (License Denial) Against Prospective Real Estate Salesperson Applicant: The California Bureau of Real Estate denied the Real Estate Salesperson license of a Los Angeles real estate developer. The denial was based on the client’s misdemeanor criminal convictions for Assault and Trespass. Furthermore, the client failed to report his convictions on his Real Estate Salesperson License application to the California Bureau of Real Estate. Prior to the matter proceeding to Hearing before an Administrative Law Judge from the California Office of Administrative Hearings in Los Angeles, a settlement proposal was tendered to the California Bureau of Real Estate. The California BRE entered into a Stipulated Agreement (settlement) with the client. The client received a two year Restricted License.

In the Matter of the California Department of Business Oversight Accusation Against Mortgage Loan Originator: The client, a Los Angeles Mortgage Loan Originator, received an Accusation from the California Department of Business Oversight. The Accusation occurred due to the concept of reciprocal discipline. The MLO had previously been disciplined in Nevada for Originating Loans Without a License. Due to substantial mitigation presented on behalf of the client, the California Department of Business Oversight entered into a Stipulated Agreement (settlement) with the client for minor discipline. The client paid a substantial fine.

In the Matter of the California Bureau of Security and Investigative Services Statement of Issues (License Denial) Against Prospective Repossession Agency Employee Applicant: The client desired to receive a Repossession Agency Employee Registration. The client possessed seven criminal convictions; five felony convictions and two misdemeanor convictions. The felony convictions were all Sex Offense crimes. The matter proceeded to Hearing before an Administrative Law Judge from the California Office of Administrative Hearings in Los Angeles. The client presented evidence of rehabilitation and positive moral character. The Administrative Law Judge granted the client a Repossession Agency Employee Registration under terms and conditions of probation.