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California Financial License Defense Attorney

We defend licensed financial professionals in California

California Professional Fiduciary License Defense Attorney

California Department of Professional Fiduciary License Defense Lawyer

The California Professional Fiduciaries Bureau, known as PFB, licenses several hundred thousand Professional Fiduciaries in the State of California. Most California Professional Fiduciaries have minimal or no contact with the enforcement arm of the California Professional Fiduciaries Bureau. For Professional Fiduciaries who become part of the California Professional Fiduciaries Bureau’s disciplinary process, the consequences are profound. The Professional Fiduciary License disciplinary process is complex, procedural and time consuming. Professional Fiduciaries facing the California Professional Fiduciaries Bureau disciplinary process should seek legal representation from an experienced California Professional Fiduciary License Defense Attorney.

California Professional Fiduciaries Bureau Investigation Defense Lawyer

The majority of California Professional Fiduciaries Bureau investigations begin with the filing of a consumer Complaint. However, California Professional Fiduciaries Bureau Investigations also occur through sting operations, criminal conviction referrals and criminal investigations. The California Professional Fiduciaries Bureau employs non sworn Enforcement Representatives to conduct non criminal investigations. The California Department of Consumer Affairs employs sworn Peace Officer Investigators to conduct criminal investigations against Professional Fiduciaries. These employees investigate criminal and administrative law violations. Administrative Law Due Process Rights differ substantially from the Due Process Rights accorded in criminal law.

It is important to have an attorney that understands the California Professional Fiduciaries Bureau disciplinary process. At the conclusion of a California Professional Fiduciaries Bureau investigation, the Bureau has several options. The Bureau can choose to close the Complaint. The Bureau can choose to issue a Citation. The Bureau can also choose to refer the matter to the California Attorney General’s Office. The California Attorney General’s Office will determine whether cause exists to file a formal disciplinary Accusation. In cases involving criminal conduct, the Bureau may refer the case to the District Attorney’s Office for criminal prosecution.

If you are a Professional Fiduciary Licensee facing a California Professional Fiduciaries Bureau investigation, contact a California Professional Fiduciary License Defense Attorney for representation.

California Professional Fiduciary License Accusation Defense Attorney

A formal Accusation served on a California Professional Fiduciary Licensee serves as notice to a Professional Fiduciary that the Department intends to revoke the Professional Fiduciaries’ License. The Professional Fiduciary, now called the Respondent, has only 15 days from the date that the Accusation was served (not received, but served) to file a Notice of Defense. The failure to file a Notice of Defense results in a Default against the Professional Fiduciary. A Default will result in the immediate Revocation of the Professional Fiduciaries’ License.

An Accusation is a serious matter that can result in the suspension or revocation of a Professional Fiduciary License in California. In many cases, it is possible for Professional Fiduciaries to reach a Stipulated Agreement with the California Attorney General’s Office. A Stipulated Agreement is a formal term for a settlement agreement. If a Stipulated Agreement cannot be reached, the parties will proceed to a formal Hearing before the California Office of Administrative Hearings (OAH).

Professional Fiduciaries facing a California Professional Fiduciaries Bureau should contact an experienced California Professional Fiduciary License Defense Attorney for representation. Common causes of action for disciplinary Accusations against Professional Fiduciaries include:

  • Accepting or Paying Referral Fees
  • Aiding and Abetting Unlicensed Professional Fiduciary Activity
  • Dishonest, Corrupt or Fraudulent Act
  • Gross Negligence
  • Failure to Maintain Adequate Records
  • Failure to Pay Civil Penalty
  • Failure to Pay Court Sanctions
  • Improper Advertising
  • Incompetence
  • Unprofessional Conduct
  • Violation of Professional Fiduciaries Act
  • Willful Violation of Duty

California Professional Fiduciary License Hearing Attorney

The California Office of Administrative Hearings, also known as OAH, maintains several Court Hearing locations. These Court locations are in Los Angeles, Oakland, Sacramento and San Diego. In some instances, Hearings may be held offsite in Bakersfield, Fresno, Orange County, Riverside, San Bernardino, San Francisco, San Jose or Ventura. The Administrative Law Hearing is a formal Hearing before an Administrative Law Judge.

The Administrative Law Judge, or ALJ, will issue a written Proposed Decision approximately 30 days after the Hearing. The California Professional Fiduciaries Bureau can adopt, modify or reject the ALJ’s Proposed Decision. The California Professional Fiduciaries Bureau’s action is called the Final Decision and Order. There are two main rights of Appeal of a Final Decision and Order. California Government Code § 11521 allows a Professional Fiduciary to file a Petition for Reconsideration prior to the effective date of the Final Decision and Order. Pursuant to California Code of Civil Procedure § 1094.5, the Professional Fiduciary can also file a Petition for Writ of Mandamus in Superior Court. A Writ must be filed within 30 days of the effective date of the Final Decision and Order.

California Professional Fiduciaries facing a California Professional Fiduciaries Bureau Administrative Law Hearing need effective representation from a California Professional Fiduciary License Defense Lawyer.

California Professional Fiduciary License and Criminal Convictions

The California Professional Fiduciaries Bureau can discipline Professional Fiduciaries for criminal convictions. California Professional Fiduciaries Bureau discipline occurs for criminal convictions that are substantially related to the duties, functions and qualifications of a Professional Fiduciary. Common criminal offenses that can cause Professional Fiduciary License discipline are:

  • Altering or Forging a Prescription
  • Assault With a Deadly Weapon
  • Battery
  • Brandishing a Firearm
  • Burglary
  • Carrying a Concealed Weapon
  • Child Abuse
  • Child Endangerment
  • Diverting a Controlled Substance
  • Domestic Violence
  • DUI
  • Elder Abuse
  • False Imprisonment
  • Forgery
  • Fraud
  • Hit & Run
  • Identity Theft
  • Insurance Fraud
  • Medicare Fraud
  • Mortgage Fraud
  • Possession for Sale of a Controlled Substance
  • Possession of a Controlled Substance
  • Public Intoxication
  • Real Estate Fraud
  • Robbery
  • Sex Offenses
  • Theft
  • Trespass
  • Vandalism
  • Vehicular Manslaughter

The California Professional Fiduciaries Bureau and other law enforcement agencies also investigate criminal conduct by Professional Fiduciaries in the course and scope of their trade. Criminal investigations often involve Professional Fiduciaries engaged in Elder Abuse, Forgery, Fraud and Theft. In serious criminal cases against Professional Fiduciaries pending in Criminal Court, the California Professional Fiduciaries Bureau and the California Attorney General’s Office may seek a California Penal Code § 23 Order against the Professional Fiduciary. A California Penal Code § 23 Order seeks to suspend a Professional Fiduciary License in Criminal Court.

Professional Fiduciaries facing criminal charges and Professional Fiduciaries who are convicted of criminal offenses need an experienced California Professional Fiduciary License Defense Attorney for representation in disciplinary proceedings before the California Professional Fiduciaries Bureau.

California Professional Fiduciary License Statement of Issues Attorney

The California Professional Fiduciaries Bureau thoroughly investigates all applicants for Professional Fiduciary Licenses. The California Professional Fiduciaries Bureau may deny a California Professional Fiduciary License for a variety of reasons. Most California Professional Fiduciary License denials occur due to criminal convictions, financial problems or misstatements on the Professional Fiduciary License application. Statement of Issues Hearings and Accusation Hearings before the Office of Administrative Hearings maintain a similar procedure. However, in a Statement of Issues Hearing, the applicant bears the burden of proof. Individuals denied a Professional Fiduciary License should contact a California Professional Fiduciary License Denial Lawyer for representation in a California Professional Fiduciaries Bureau Statement of Issues Hearing.

California Professional Fiduciary License Petition for Reinstatement Lawyer

A Petition for Reinstatement allows Professional Fiduciaries who have received a Professional Fiduciary License Revocation to reinstate their License. The Petition for Reinstatement must show by clear and convincing evidence the factual and legal reasons to warrant the Professional Fiduciary License Reinstatement. Rehabilitation from past misconduct is the primary factor in a Petition for Reinstatement before the California Professional Fiduciaries Bureau. A successful Professional Fiduciary License Petition for Reinstatement requires representation by an experienced California Professional Fiduciary License Defense Attorney.