<span id="hs_cos_wrapper_name" class="hs_cos_wrapper hs_cos_wrapper_meta_field hs_cos_wrapper_type_text" style="" data-hs-cos-general-type="meta_field" data-hs-cos-type="text" >Regulatory Defense: 3 Rules</span>

Regulatory Defense: 3 Rules

Regulatory defense means you, as licensed individual or company, receive a license that authorizes you to do business.  Most licenses are issued by the State:  real estate agents; mortgage originators; pharmacists; real estate appraisers; building contractors.  You get the idea.   Someone, usually a customer, submits a complaint to your regulatory board or State agency and an investigation commences.  This is administrative law, totally different than civil law or criminal defense. 
The risks are high in this situation.  Say one thing wrong and you can be in for a major problem. Even if you say something slightly incorrectly you can be in for a big problem.   Here are 3 rules you need to follow in this situation:
  1. Only provide exactly what is asked for from the regulator.
  2. Make the regulator explain its questions thoroughly.  The investigators are not particularly good at being clear in their questions in my experience.
  3. Know the laws you that apply to you.  This may seem common sense, but many regulated clients don't know all the ins and outs of the laws that apply to them.
I of course recommend good counsel to guide you.  I've had excellent results with regulated clients. All situations are different and that doesn't mean your situation will come out as you wish, but I will properly guide you through the process and defend you with vigorously.

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