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Department of Financial Protection and Innovation (DFPI) Financial Institutions Broker-Dealer

Allen Matkins

Broker-Dealers, Investment Advisers And Others May Soon Face Enforcement Under the California Consumer Financial Protection Law

Allen Matkins on

In 2020, the legislature enacted the California Consumer Financial Protection Law.  The CCFPL significantly expanded the regulatory authority of the the Department of Financial Protection & Innovation by granting it the...more

Allen Matkins

DFPI Issues Numerous Detailed Warnings Of Possible Cryptocurrency Broker Frauds

Allen Matkins on

Shortly after Christmas, the California Department of Financial Protection & Innovation began issuing consumer alerts with respect to possible cryptocurrency broker frauds.  These alerts generally involved alleged "Advance...more

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