News & Analysis as of

Administrative Procedure Act California Department of Financial Protection and Innovation (DFPI)

Allen Matkins

Is Due Process Denied When The DFPI Isn't Required To Read Or Become Familiar With The Record?

Allen Matkins on

In  S.E.C. v. Jarkesy, 2024 WL 3187811 (June 27, 2024), the United States Supreme Court held that when the Securities and Exchange Commission seeks civil penalties against a defendant for securities fraud, the Seventh...more

Allen Matkins

OAL Rejects DFPI Proposed Regulations

Allen Matkins on

In March 2023, the California Department of Financial Protection & Innovation proposed to adopt numerous regulations to "implement, interpret, and make specific registration requirements for covered persons under the...more

Allen Matkins

Can Nonprecedential Decisions Be Relied Upon?

Allen Matkins on

Yesterday's post noted that an administrative decision had not been listed as a "precedent decision".  Today's post will delve into the role of precedential and nonprecedential agency decisions....more

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