Criminal Convictions and Accountant Discipline in California

California accountants risk professional discipline by the California Board of Accountancy (CBA) following a conviction for a crime "substantially related" to the work of accountancy. Depending on the seriousness of the case, the punishment may range from a reprimand to license revocation.

The CBA may also deny licenses to applicants for having been convicted of a crime within the last seven (7) years that is "substantially related" to accountancy. And aspiring accountants may be denied licenses for having a conviction of any age that was for either:

  • serious offense (such as murder, rape, or grand theft),
  • sex offense which requires Tier II or Tier III registration, or
  • a financial felony related to accountancy work

Our California Criminal Defense Lawyers represent people accused of crimes and have particular experience helping accountants avoid losing their licenses in disciplinary actions.1

This article is about criminal convictions and accountant discipline in California.  If you have further questions after reading it, we invite you to contact us for a consultation.

This article covers:

california accountant legal defense
California accountants risk professional discipline by the California Board of Accountancy (CBA) following a conviction for a crime "substantially related" to the work of accountancy

1. Who regulates accountants in California?

The California Board of Accountancy regulates accountants in California.  The Board is a state governmental agency within the California Department of Consumer Affairs.

The Board enforces the California Accountancy Act and implements regulations in accordance with its mission of public protection.2

2. Can I become an accountant in California if I have a criminal conviction? (7-year rule)

It depends on when the incident occurred, and what the charge was.

Having a criminal conviction from more than seven (7) years ago is generally not a ground of denial for an accountancy license as long as the applicant completed all the sentencing terms.

However, the Accountancy Board can still disqualify applicants for convictions no matter how old if the conviction was for either:

  • a crime which requires Tier II or Tier III sex offender registration;
  • a felony financial crime that is directly and adversely related to the fiduciary qualifications, functions, or duties of accountancy; or
  • a serious felony, as defined in Section 1192.7 of the Penal Code, which includes:
  1. murder or voluntary manslaughter;
  2. mayhem;
  3. rape;
  4. sodomy by force, violence, duress, menace, threat of great bodily injury, or fear of immediate and unlawful bodily injury on the victim or another person;
  5. oral copulation by force, violence, duress, menace, threat of great bodily injury, or fear of immediate and unlawful bodily injury on the victim or another person;
  6. lewd or lascivious act on a child under 14 years of age;
  7. any felony punishable by death or imprisonment in the state prison for life;
  8. any felony in which the defendant personally inflicts great bodily injury on any person, other than an accomplice, or any felony in which the defendant personally uses a firearm;
  9. attempted murder;
  10. assault with intent to commit rape or robbery;
  11. assault with a deadly weapon or instrument on a peace officer;
  12. assault by a life prisoner on a noninmate;
  13. assault with a deadly weapon by an inmate;
  14. arson;
  15. exploding a destructive device or any explosive with intent to injure;
  16. exploding a destructive device or any explosive causing bodily injury, great bodily injury, or mayhem;
  17. exploding a destructive device or any explosive with intent to murder;
  18. any burglary of the first degree;
  19. robbery or bank robbery;
  20. kidnapping;
  21. holding of a hostage by a person confined in a state prison;
  22. attempt to commit a felony punishable by death or imprisonment in the state prison for life;
  23. any felony in which the defendant personally used a dangerous or deadly weapon;
  24. selling, furnishing, administering, giving, or offering to sell, furnish, administer, or give to a minor any heroin, cocaine, phencyclidine (PCP), or any methamphetamine-related drug, as described in paragraph (2) of subdivision (d) of Section 11055 of the Health and Safety Code, or any of the precursors of methamphetamines, as described in subparagraph (A) of paragraph (1) of subdivision (f) of Section 11055 or subdivision (a) of Section 11100 of the Health and Safety Code;
  25. any violation of subdivision (a) of Section 289 where the act is accomplished against the victim's will by force, violence, duress, menace, or fear of immediate and unlawful bodily injury on the victim or another person;
  26. grand theft involving a firearm;
  27. carjacking; (28) any felony offense, which would also constitute a felony violation of Section 186.22;
  28. assault with the intent to commit mayhem, rape, sodomy, or oral copulation, in violation of Section 220;
  29. throwing acid or flammable substances, in violation of Section 244;
  30. assault with a deadly weapon, firearm, machine gun, assault weapon, or semiautomatic firearm or assault on a peace officer or firefighter, in violation of Section 245;
  31. assault with a deadly weapon against a public transit employee, custodial officer, or school employee, in violation of Sections 245.2, 245.3, or 245.5;
  32. discharge of a firearm at an inhabited dwelling, vehicle, or aircraft, in violation of Section 246;
  33. commission of rape or sexual penetration in concert with another person, in violation of Section 264.1;
  34. continuous sexual abuse of a child, in violation of Section 288.5;
  35. shooting from a vehicle, in violation of subdivision (c) or (d) of Section 12034;
  36. intimidation of victims or witnesses, in violation of Section 136.1;
  37. criminal threats, in violation of Section 422;
  38. any attempt to commit a crime listed in this subdivision other than an assault;
  39. any violation of Section 12022.53;
  40. a violation of subdivision (b) or (c) of Section 11418; and
  41. any conspiracy to commit an offense described in this subdivision.

Otherwise, applicants with a conviction within the past seven (7) may still be eligible for a license as long as the crime is not substantially related to the qualifications, functions, or duties of being an accountant.3 See the following section for more information about what crimes qualify as "substantially related" to accountancy.

When the Board denies an applicant a license on the basis of criminal history, it will inform the applicant of his/her right to appeal the denial.

3. What criminal convictions trigger Board of Accountancy discipline?

Convictions that are "substantially related" to the qualifications, functions, or duties of an accountant can trigger Board of Accountancy discipline in the form of license revocation or suspension, or censure.  Such convictions constitute "unprofessional conduct."4

The "substantial relationship" requirement is based in both statutes and in the Constitution.  Your right to practice your chosen profession can only be impeded for a reason that relates to your fitness to practice that profession.5

In terms of sanction, the Board's Disciplinary Guidelines recommend license revocation as a maximum penalty for felony or "several misdemeanor" convictions.

As a minimum penalty for such convictions, the Guidelines call for a period of actual suspension with possible probation conditions including restitution, ethics course, community service and/or administrative penalty.6

"substantially related"

A substantially related conviction is one that "evidences present or potential unfitness of a certified public accountant or public accountant to perform the functions authorized by his or her certificate or permit in a manner consistent with the public health, safety, or welfare."7

The Board specifies by regulation that crimes involving dishonesty, fraud or breach of fiduciary responsibility, as well as violations of the California Accountancy Act, are included.8

According to Board newsletters (and related enforcement documents), the following kinds of convictions have netted disciplinary action against California accountants:

These are just examples.  This is by no means a definitive or exhaustive list.

We recommend consulting an attorney when it comes to assessing whether a particular conviction is likely to be considered by the Board of Accountancy or a court to be substantially related to accounting.

Convictions

Convictions include felony and misdemeanor convictions secured through guilty pleas and verdicts, no contest pleas and convictions that may later be expunged under California Penal Code Section 1203.4.15

Generally speaking, the Board can act with respect to a conviction when the time for appeal has passed, the judgment of conviction has been affirmed on appeal, or an order granting probation is made suspending imposition of sentence.16

However, the reporting obligations discussed below define convictions more broadly to include initial pleas and sentence pronouncements.

Reportable events

Like doctors and lawyers, accountants in California have ongoing reporting obligations in connection with criminal actions.  Under Bus. & Prof. Code 5063, accountants must notify the Board of Accountancy within 30 days of certain criminal convictions.17

Courts in which such convictions are secured also have reporting obligations.18

4. Can I fight for my license?

Yes. If you're a California accountant and you receive an Accusation notifying you that the Board seeks to discipline you by suspending or revoking your license, all is not lost.19

There may still be a chance to negotiate a favorable settlement with the Board.20

Further, as we discuss in our related article Administrative Hearings, you have the right to a hearing in front of an administrative law judge.

You have the right to discovery of relevant evidence in preparation for the hearing and the right to introduce evidence and cross-examine witnesses at the hearing.

You also can present key evidence showing that you have been rehabilitated from your crime.21

Finally, even if you should lose your permit or certificate, eventually you will be able to petition the Board for reinstatement.22

Our California Criminal Defense Lawyers Can Help.

Img call for help optimized

If you or a loved one is charged with a crime and is an accountant and you are looking to hire an attorney for representation, we invite you to contact us at Shouse Law Group. We can provide a free consultation in office or by phone. We have local offices in Los Angeles, the San Fernando Valley, Pasadena, Long Beach, Orange County, Ventura, San Bernardino, Rancho Cucamonga, Riverside, San Diego, Sacramento, Oakland, San Francisco, San Jose and throughout California.

You might also be interested in reading our related articles Doctor License Revocation, Nurse License Revocation, Dentist License Revocation, Teacher License Revocation, Social Worker License Revocation, and Real Estate Agent License Revocation.

Helpful links:

California Board of Accountancy

California Department of Consumer Affairs

California Office of Administrative Hearings

References:


  1. Our California Criminal Defense Lawyers have local offices in Beverly Hills, Burbank, Glendale, Lancaster, Long Beach, Los Angeles, Pasadena, Pomona, San Diego, San Francisco, Torrance, Van Nuys, West Covina, and Whittier.

  2. See California Business and Professions Code Section 5000 et seq; California Code of Regulations Title 16, Division 1 (State Board of Accountancy).  See also California Business and Professions Code Section 5000.1, which emphasizes:  "Protection of the public shall be the highest priority for the California Board of Accountancy in exercising its licensing, regulatory, and disciplinary functions.  Whenever the protection of the public is inconsistent with other interests sought to be promoted, the protection of the public shall be paramount."

  3. California Business and Professions Code Section 480; California Assembly Bill 2138 (2018).

  4. California Business and Professions Code Section 5100 (a) provides:  "After notice and hearing the board may revoke, suspend, or refuse to renew any permit or certificate granted under Article 4 (commencing with Section 5070) and Article 5 (commencing with Section 5080), or may censure the holder of that permit or certificate for unprofessional conduct that includes, but is not limited to, one or any combination of the following causes:  (a) Conviction of any crime substantially related to the qualifications, functions and duties of a certified public accountant or a public accountant."  SEE ALSO California Business and Professions Code Section 490, which provides:  "(a) In addition to any other action that a board is permitted to take against a licensee, a board may suspend or revoke a license on the ground that the licensee has been convicted of a crime, if the crime is substantially related to the qualifications, functions, or duties of the business or profession for which the license was issued.  (b) Notwithstanding any other provision of law, a board may exercise any authority to discipline a licensee for conviction of a crime that is independent of the authority granted under subdivision (a) only if the crime is substantially related to the qualifications, functions, or duties of the business or profession for which the licensee's license was issued.  (c) A conviction within the meaning of this section means a plea or verdict of guilty or a conviction following a plea of nolo contendere.  Any action that a board is permitted to take following the establishment of a conviction may be taken when the time for appeal has elapsed, or the judgment of conviction has been affirmed on appeal, or when an order granting probation is made suspending the imposition of sentence, irrespective of a subsequent order under the provisions of Section 1203.4 of the Penal Code.  (d) The Legislature hereby finds and declares that the application of this section has been made unclear by the holding in Petropoulos v. Department of Real Estate (2006) 142 Cal.App.4th 554, and that the holding in that case has placed a significant number of statutes and regulations in question, resulting in potential harm to the consumers of California from licensees who have been convicted of crimes.  Therefore, the Legislature finds and declares that this section establishes an independent basis for a board to impose discipline upon a licensee, and that the amendments to this section made by Senate Bill 797 of the 2007-08 Regular Session do not constitute a change to, but rather are declaratory of, existing law."

  5. Hughes v. Board of Architectural Examiners, 17 Cal.4th 763, 788 (1998) ("It is axiomatic that the right of an individual to engage in any of the common occupations of life is among the several fundamental liberties protected by the due process and equal protection clauses of the Fourteenth Amendment.  Therefore, for example, a statute constitutionally can prohibit an individual from practicing a lawful profession only for reasons related to his or her fitness or competence to practice that profession." (Internal citations omitted)

  6. As to administrative penalties, see California Business and Professions Code Section 5116.2, which provides:  "In accordance with Section 5116 and applicable regulations, any licensee who violates subdivision (a), (c), (i), (j) or (k) of Section 5100 may be assessed an administrative penalty of not more than one million dollars ($1,000,000) for the first violation and not more than five million dollars ($5,000,000) for any subsequent violation, except that a licensee who is a natural person may be assessed an administrative penalty of not more than fifty thousand dollars ($50,000) for the first violation and not more than one hundred thousand dollars ($100,000) for any subsequent violation."

  7. California Code of Regulations Title 16, Division 1, Section 99 provides:  "For the purposes of denial, suspension, or revocation of a certificate or permit pursuant to Division 1.5 (commencing with Section 475) of the Business and Professions Code, a crime or act shall be considered to be substantially related to the qualifications, functions or duties of a certified public accountant or public accountant if to a substantial degree it evidences present or potential unfitness of a certified public accountant or public accountant to perform the functions authorized by his or her certificate or permit in a manner consistent with the public health, safety, or welfare. Such crimes or acts shall include but not be limited to those involving the following:  (a) Dishonesty, fraud, or breach of fiduciary responsibility of any kind;  (b) Fraud or deceit in obtaining a certified public accountant's certificate or a public accountant's permit under Chapter 1, Division III of the Business and Professions Code;  (c) Gross negligence in the practice of public accountancy or in the performance of the bookkeeping operations described in Section 5052 of the code;  (d) Violation of any of the provisions of Chapter 1, Division III of the Business and Professions Code or willful violation of any rule or regulation of the board.

  8. California Code of Regulations Title 16, Division 1, Section 99, id.

  9. In the Matter of the Accusation Against Susan Rachele (CPA) Case No. AC-2009-35 [default decision revoking license after conviction of 107 counts of forgery]

  10. In the Matter of the Accusation Against William Russell Murray (CPA) Case No. AC-2010-26 [default decision revoking license after guilty plea in federal mail fraud and interfering with tax administration case]; In the Matter of the Accusation Against Mamie Tang (CPA) Case No. AC-2004-10 [stipulated settlement and disciplinary order revoking license after conviction for mail fraud]

  11. In the Matter of the Accusation Against Alejandro Sady-Kennedy (CPA) AC-2007-26 [stipulated settlement and disciplinary order revoking license after conviction for bank fraud, wire fraud and money laundering]

  12. In the Matter of the Accusation Against Jerold J. Werner (CPA) Case No. AC-2004-18 [default decision revoking license after conviction on no contest plea for grand theft]; In the Matter of the Accusation Against Michael Alan Feldman (CPA) Case No. AC-2005-36 [default decision revoking license after conviction for grand theft by embezzlement]

  13. In the Matter of the Amended Accusation Against Wade Vincent Shang (CPA) Case No. AC-2004-20 [license revoked after conviction by jury verdict for tax evasion]

  14. In the Matter of the Accusation Against Michael D. Stava (CPA) Case No.  AC-96-35 [license revoked by stipulated settlement after conviction by jury verdict for carjacking and robbery]

  15. See California Business and Professions Code Section 5106 provides:  "A plea or verdict of guilty or a conviction following a plea of nolo contendere is deemed to be a conviction within the meaning of this article.  The record of the conviction shall be conclusive evidence thereof.  The board may order the certificate or permit suspended or revoked, or may decline to issue a certificate or permit, when the time for appeal has elapsed, or the judgment of conviction has been affirmed on appeal or when an order granting probation is made, suspending the imposition of sentence, irrespective of a subsequent order under the provisions of Section 1203.4 of the Penal Code allowing such person to withdraw his plea of guilty and to enter a plea of not guilty, or setting aside the verdict of guilty or dismissing the accusation, information or indictment."

  16. California Business and Professions Code Section 5106, supra.  SEE ALSO California Business and Professions Code Section 7.5, which provides:  "(a) A conviction within the meaning of this code means a judgment following a plea or verdict of guilty or a plea of nolo contendere or finding of guilt. Any action which a board is permitted to take following the establishment of a conviction may be taken when the time for appeal has elapsed, or the judgment of conviction has been affirmed on appeal or when an order granting probation is made suspending the imposition of sentence. However, a board may not deny a license to an applicant who is otherwise qualified pursuant to subdivision (b) or (c) of Section 480. (b) (1) Nothing in this section shall apply to the licensure of persons pursuant to Chapter 4 (commencing with Section 6000) of Division 3."  The referenced California Business and Professions Code Section 480 deals with license denials and provides:

    (a) Notwithstanding any other provision of this code, a board may deny a license regulated by this code on the grounds that the applicant has been convicted of a crime or has been subject to formal discipline only if either of the following conditions are met:
    (1) The applicant has been convicted of a crime within the preceding seven years from the date of application that is substantially related to the qualifications, functions, or duties of the business or profession for which the application is made, regardless of whether the applicant was incarcerated for that crime, or the applicant has been convicted of a crime that is substantially related to the qualifications, functions, or duties of the business or profession for which the application is made and for which the applicant is presently incarcerated or for which the applicant was released from incarceration within the preceding seven years from the date of application. However, the preceding seven-year limitation shall not apply in either of the following situations:
    (A) The applicant was convicted of a serious felony, as defined in Section 1192.7 of the Penal Code or a crime for which registration is required pursuant to paragraph (2) or (3) of subdivision (d) of Section 290 of the Penal Code.
    (B) The applicant was convicted of a financial crime currently classified as a felony that is directly and adversely related to the fiduciary qualifications, functions, or duties of the business or profession for which the application is made, pursuant to regulations adopted by the board, and for which the applicant is seeking licensure under any of the following:
    (i) Chapter 1 (commencing with Section 5000) of Division 3.
    (ii) Chapter 6 (commencing with Section 6500) of Division 3.
    (iii) Chapter 9 (commencing with Section 7000) of Division 3.
    (iv) Chapter 11.3 (commencing with Section 7512) of Division 3.
    (v) Licensure as a funeral director or cemetery manager under Chapter 12 (commencing with Section 7600) of Division 3.
    (vi) Division 4 (commencing with Section 10000).
    (2) The applicant has been subjected to formal discipline by a licensing board in or outside California within the preceding seven years from the date of application based on professional misconduct that would have been cause for discipline before the board for which the present application is made and that is substantially related to the qualifications, functions, or duties of the business or profession for which the present application is made. However, prior disciplinary action by a licensing board within the preceding seven years shall not be the basis for denial of a license if the basis for that disciplinary action was a conviction that has been dismissed pursuant to Section 1203.4, 1203.4a, 1203.41, or 1203.42 of the Penal Code or a comparable dismissal or expungement.
    (b) Notwithstanding any other provision of this code, a person shall not be denied a license on the basis that he or she has been convicted of a crime, or on the basis of acts underlying a conviction for a crime, if he or she has obtained a certificate of rehabilitation under Chapter 3.5 (commencing with Section 4852.01) of Title 6 of Part 3 of the Penal Code, has been granted clemency or a pardon by a state or federal executive, or has made a showing of rehabilitation pursuant to Section 482.
    (c) Notwithstanding any other provision of this code, a person shall not be denied a license on the basis of any conviction, or on the basis of the acts underlying the conviction, that has been dismissed pursuant to Section 1203.4, 1203.4a, 1203.41, or 1203.42 of the Penal Code, or a comparable dismissal or expungement. An applicant who has a conviction that has been dismissed pursuant to Section 1203.4, 1203.4a, 1203.41, or 1203.42 of the Penal Code shall provide proof of the dismissal if it is not reflected on the report furnished by the Department of Justice.
    (d) Notwithstanding any other provision of this code, a board shall not deny a license on the basis of an arrest that resulted in a disposition other than a conviction, including an arrest that resulted in an infraction, citation, or a juvenile adjudication.
    (e) A board may deny a license regulated by this code on the ground that the applicant knowingly made a false statement of fact that is required to be revealed in the application for the license. A board shall not deny a license based solely on an applicant's failure to disclose a fact that would not have been cause for denial of the license had it been disclosed.
    (f) A board shall follow the following procedures in requesting or acting on an applicant's criminal history information:
    (1) A board issuing a license pursuant to Chapter 3 (commencing with Section 5500), Chapter 3.5 (commencing with Section 5615), Chapter 10 (commencing with Section 7301), Chapter 20 (commencing with Section 9800), or Chapter 20.3 (commencing with Section 9880), of Division 3, or Chapter 3 (commencing with Section 19000) or Chapter 3.1 (commencing with Section 19225) of Division 8 may require applicants for licensure under those chapters to disclose criminal conviction history on an application for licensure.
    (2) Except as provided in paragraph (1), a board shall not require an applicant for licensure to disclose any information or documentation regarding the applicant's criminal history. However, a board may request mitigating information from an applicant regarding the applicant's criminal history for purposes of determining substantial relation or demonstrating evidence of rehabilitation, provided that the applicant is informed that disclosure is voluntary and that the applicant's decision not to disclose any information shall not be a factor in a board's decision to grant or deny an application for licensure.

  17. California Business and Professions Code Section 5063 provides:  "(a) A licensee shall report to the board in writing of the occurrence of any of the following events occurring on or after January 1, 1997, within 30 days of the date the licensee has knowledge of these events:  (1) The conviction of the licensee of any of the following:  (A) A felony.  (B) Any crime related to the qualifications, functions, or duties of a public accountant or certified public accountant, or to acts or activities in the course and scope of the practice of public accountancy.  (C) Any crime involving theft, embezzlement, misappropriation of funds or property, breach of a fiduciary responsibility, or the preparation, publication, or dissemination of false, fraudulent, or materially misleading financial statements, reports, or information.  As used in this section, a conviction includes the initial plea, verdict, or finding of guilt, pleas of no contest, or pronouncement of sentence by a trial court even though that conviction may not be final or sentence actually imposed until appeals are exhausted.  (2) The cancellation, revocation, or suspension of a certificate, other authority to practice or refusal to renew a certificate or other authority to practice as a certified public accountant or a public accountant, by any other state or foreign country.  (3) The cancellation, revocation, or suspension of the right to practice as a certified public accountant or a public accountant before any governmental body or agency.  (b) A licensee shall report to the board in writing the occurrence of any of the following events occurring on or after January 1, 2003, within 30 days of the date the licensee has knowledge of the events:  (1) Any restatement of a financial statement and related disclosures by a client audited by the licensee.  (2) Any civil action settlement or arbitration award against the licensee relating to the practice of public accountancy where the amount or value of the settlement or arbitration award is thirty thousand dollars ($30,000) or greater and where the licensee is not insured for the full amount of the award.  (3) Any notice of the opening or initiation of a formal investigation of the licensee by the Securities and Exchange Commission or its designee.  (4) Any notice from the Securities and Exchange Commission to a licensee requesting a Wells Submission.  (5) Any notice of the opening or initiation of an investigation by the Public Company Accounting Oversight Board or its designee, as defined pursuant to subdivision (g).  (c) A licensee shall report to the board in writing, within 30 days of the entry of the judgment, any judgment entered on or after January 1, 2003, against the licensee in any civil action alleging any of the following:  (1) Dishonesty, fraud, gross negligence, or negligence.  (2) Breach of fiduciary responsibility.  (3) Preparation, publication, or dissemination of false, fraudulent, or materially misleading financial statements, reports, or information.  (4) Embezzlement, theft, misappropriation of funds or property, or obtaining money, property, or other valuable consideration by fraudulent means or false pretenses, or other errors or omissions.  (5) Any actionable conduct by the licensee in the practice of public accountancy, the performance of bookkeeping operations, or other professional practice.  (d) The report required by subdivisions (a), (b), and (c) shall be signed by the licensee and set forth the facts which constitute the reportable event.  If the reportable event involves the action of an administrative agency or court, then the report shall set forth the title of the matter, court or agency name, docket number, and dates of occurrence of the reportable event.  (e) A licensee shall promptly respond to oral or written inquiries from the board concerning the reportable events, including inquiries made by the board in conjunction with license renewal.  (f) Nothing in this section shall impose a duty upon any licensee to report to the board the occurrence of any of the events set forth in subdivision (a), (b), or (c) either by or against any other licensee.  (g) The board may adopt regulations to further define the reporting requirements of this section."

  18. California Business and Professions Code Section 5063.1 provides:  "Within 10 days of entry of a conviction described in paragraph (1) of subdivision (a) of Section 5063 or a judgment described in subdivision (c) of Section 5063 by a court of this state, the court that rendered the conviction or judgment shall report that fact to the board and provide the board with a copy of the conviction or judgment and any orders or opinions of the court accompanying or ordering the conviction or judgment."

  19. California Government Code Section 11503 provides:  "A hearing to determine whether a right, authority, license or privilege should be revoked, suspended, limited or conditioned shall be initiated by filing an accusation.  The accusation shall be a written statement of charges which shall set forth in ordinary and concise language the acts or omissions with which the respondent is charged, to the end that the respondent will be able to prepare his defense.  It shall specify the statutes and rules which the respondent is alleged to have violated, but shall not consist merely of charges phrased in the language of such statutes and rules.  The accusation shall be verified unless made by a public officer acting in his official capacity or by an employee of the agency before which the proceeding is to be held.  The verification may be on information and belief."

  20. See Disciplinary Guidelines, p. 2:  "The Board will consider stipulated settlements to promote cost effectiveness and to expedite disciplinary decisions if such agreements achieve its disciplinary objectives.  Deputy Attorneys General should inquire as to respondent's interest in stipulated settlement promptly after receipt of a notice of defense.  If stipulated settlement appears unlikely, the case should be set for hearing."

  21. See Disciplinary Guidelines for aggravating circumstances (including prior discipline and financial damage) and mitigating circumstances (including rehabilitation and remorse).  See also California Code of Regulations Title 16, Division 1, Section 99.1, which provides:  "When considering the denial of a certificate or permit under Section 480 of the Business and Professions Code, the suspension or revocation of a certificate or permit or restoration of a revoked certificate under Section 11522 of the Government Code, the board, in evaluating the rehabilitation of the applicant and his present eligibility for a certificate or permit, will consider the following criteria:  (1) Nature and severity of the act(s) or offense(s).  (2) Criminal record and evidence of any act(s) committed subsequent to the act(s) or offense(s) under consideration which also could be considered as grounds for denial, suspension or revocation.  (3) The time that has elapsed since commission of the act(s) or offense(s) referred to in subdivision (1) or (2).  (4) The extent to which the applicant or licensee has complied with any terms of parole, probation, restitution, or any other sanctions lawfully imposed against the applicant or licensee.  (5) If applicable, evidence of expungement proceedings pursuant to Section 1203.4 of the Penal Code.  (6) Evidence, if any, of rehabilitation submitted by the applicant or licensee."

  22. California Business and Professions Code Section 5115 provides:  "(a) A person whose license has been revoked or surrendered may petition the board for reinstatement or reduction of penalty after a period of not less than one year has elapsed from the effective date of the decision or from the date of the denial of a similar petition, unless a longer period, not to exceed three years, is specified by the board in any decision revoking the license, accepting the surrender of the license, or denying reinstatement of the license.  (b) A person whose license has not been revoked or surrendered but who has been disciplined by imposition of a suspension or otherwise disciplined may petition the board for reinstatement or reduction of penalty after a period of not less than one year has elapsed from the effective date of the decision.  (c) The board shall give notice to the Attorney General of the filing of the petition and the Attorney General and the petitioner shall be afforded an opportunity to present either oral or written argument before the board itself.  The board itself shall rule on the petition, and the decision shall include the reasons therefor and any terms and conditions that the board reasonably deems appropriate to impose as a condition of reinstatement or reduction of penalty, including, but not limited to, restrictions on the petitioner's scope of professional practice."

Free attorney consultations...

Our attorneys want to hear your side of the story. Contact us 24/7 to schedule a FREE consultation with a criminal defense lawyer. We may be able to get your charges reduced or even dismissed altogether. And if necessary, we will champion your case all the way to trial.

Regain peace of mind...

Shouse Law Defense Group has multiple locations throughout California. Click Office Locations to find out which office is right for you.

Office Locations

Shouse Law Group has multiple locations all across California, Nevada, and Colorado. Click Office Locations to find out which office is right for you.

To contact us, please select your state:

Call us 24/7 (855) 396-0370