by John Richert | Mar 22, 2019 | Professional License
If you are licensed by FINRA, there is no doubt that you are familiar with the broad investigation powers that FINRA possesses if there is a suspicion of wrongdoing. However, if you are licensed by FINRA and working in Florida, you are very likely to also be licensed...
by John Richert | Mar 24, 2018 | Professional License
A Florida professional license disciplinary proceeding places your livelihood in jeopardy. If you have a professional license issued by the state of Florida, you may wonder what may happen in the event that you are involved in a disciplinary proceeding. It is...
by John Richert | Nov 9, 2017 | Professional License
If you hold a professional license in Florida, such as an insurance license from the Department of Financial Services or a securities license from the Office of Financial Regulation, you may be wondering about your rights in the event the administrative agency opens...
by Patrick Quarles | Aug 21, 2016 | Professional License
If you make your living in insurance or financial services, you need to consider what happens if the state or other regulatory body tries to discipline you. If you are involved in a professional license disciplinary proceeding, including FINRA, the Florida Office of...
