No financial advisor wants to be under suspicion or investigation by the Financial Industry Regulatory Authority (FINRA). If you receive a Rule 8210 letter, that may be your first assumption. But it’s not necessarily true and a deeper understanding of the rule can...
Year: 2022
Insurance professionals’ honest mistakes can cost them
The California Department of Insurance is in charge of regulating insurance agents, adjusters and other insurance professionals in this state. Part of the Department’s job is to make sure that these insurance professionals maintain high ethical standards and follow...
What should I know about medical board complaints and discipline?
In California, it is a significant professional achievement to be licensed to practice medicine. Those who work hard and diligently to achieve this lofty goal and strive to provide quality care to patients might not realize that their personal and professional...
Can I get my nursing license back if it was revoked?
As a nurse, you are passionate about your career and feel a certain sense of identity as a person who heals and cares for others when they are sick or injured. So, if your nursing license is revoked it can be a blow both emotionally and financially. However, depending...
The FINRA dispute resolution process
When professionals registered with the Financial Industry Regulatory Authority are accused of bad acts or misconduct, they often will have to handle both the dispute resolution process and FINRA's Investor Complaint Center. But, understanding the FINRA process can...