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Discussions tagged with 'NMLS and Real Estate Licensing Suspension and Revocation'
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What happens if a NMLS or Real Estate Licensee gets their license suspended, revoked, or taken away by the state regulator but is not charged or arrested by law enforcement and/or court system. It is just from the state regulator. License got revoked in 2013 and when is the licensee eligible to apply for a new DRE and/or NMLS license?
Individuals Barred by FINRA
The individuals listed below have a FINRA bar in effect, which means FINRA has permanently prohibited them from association with any FINRA member in any capacity. The list comprises individuals who were associated with a FINRA registered firm on or after FINRA launched Web CRD on August 16, 1999. Where indicated, individuals on this list have appealed FINRA’s final action to the SEC or, in the case of a final order of the SEC sustaining FINRA’s action, to the courts; thus, the findings and sanctions of FINRA in those instances are subject to review and modification by the SEC or the courts.
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