Office Of Financial Regulation in TALLAHASSEE

If you work in the finance industry, you are stringently responsible for adhering to a myriad of state and federal policies. The Florida Office of Financial Regulation (OFR) is tasked with overseeing industry compliance and licensing and you will certainly speak with an agency employee if you have licensing issues. H. Richard Bisbee P.A. can help you if you need help obtaining or defending a license.

Regulated Professions

If you intend to pursue a career in any of the following professions, you will need to get a license from the OFR:

• Collections
• Consumer finance
• Crowdfunding
• FINRA & non-FINRA dealers
• Financial institutions, e.g. banks, credit unions, etc.
• Investment advisors
• Issuer dealers
• Loan originators, brokers, & lenders
• Money services businesses
• Retail installment sales
• Securities
• Title loan companies

Common Financial Services Licensing Issues

In addition to helping our clients obtain the proper licenses, H. Richard Bisbee P.A. also handles OFR cases pertaining to:

• Allegations of negligence, misconduct, fraud, etc.
• Formal & informal complaints
• Notices of intent to deny
• Notices of investigation
• Emergency suspension orders
• Preliminary audit letters
• Compliance violations
• License probation, suspension, & revocation

Helping You Get To Work

Due to the sensitive nature of handling other people’s money, any licensing issues pertaining to your work in the financial services industry are serious and need to be dealt with as soon as possible. We can help you resolve these legal matters and preserve your professional reputation. Call us today to get started on your case.