Actions, Orders and Administrative Hearing Decisions
For information about penalties against a Mortgage Loan Originator, please visit the Nationwide Mortgage Licensing System and Registry at http://www.nmlsconsumeraccess.org/.
Actions and Orders
This list contains the desist and refrain orders, civil actions, administrative actions, orders, and Administrative Hearing Decisions, issued by the Commissioner of the Department of Financial Protection and Innovation* from January 1, 2002 to present, against individuals and firms under one or more of the laws within the jurisdiction of the DFPI. If you need further assistance relating to these or other individuals and firms, please contact the Department’s Consumer Services Office at 1-866-275-2677 or 916-327-7585.
Summary of Actions and Orders – Listed by Month
* On September 29, 2020, the scope of the Department of Business Oversight was expanded to create the Department of Financial Protection and Innovation. Previously, on July 1, 2013, the Department of Corporations and the Department of Financial Institutions merged to form the Department of Business Oversight.
Administrative Hearing Decisions
The Office of Administrative Hearings (OAH) hears contested cases related to the desist and refrain orders, administrative actions and orders issued under many of the laws within the jurisdiction of the DFPI. Administrative Law Judges (ALJ) preside over OAH proceedings in a manner similar to civil court trials with each party given an opportunity to make an opening statement, call witnesses, offer other relevant evidence, and make closing arguments. The ALJs are fully independent of the agencies whose attorneys appear before them and are neutral fact-finders.
The Department of Financial Protection and Innovation issues the Consumer Alerts relating to companies offering escrow services, lending services, or are falsely advertising that they are licensed by the Department of Financial Protection and Innovation. Please note that these companies are not licensed by the California Department of Financial Protection and Innovation to engage in business and may be operating in violation of California law. If you need further assistance relating to these or other individuals and entities, please contact the Department’s Consumer Service Center by telephone: 1-866-275-2677 or 916-327-7585.
A precedent decision is a decision or part of a decision that contains a significant legal or policy determination of general application that is likely to recur.
- Investment and Financial Services Laws – Precedent Decisions
- Financial Institutions Law – Legal precedent system