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This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and the CFP® designation. He is passionate about opening access to high-quality exam preparation resources and helping learners prepare more effectively for professional certification exams.
In this episode you will learn: - The OPR initiates disciplinary action with a formal complaint, and the practitioner must file an answer within the specified time to avoid a default judgment. - The OPR bears the burden of proof in a hearing, which is judged by a 'preponderance of the evidence' standard before an Administrative Law Judge (ALJ). - Sanctions range from a public censure to suspension or disbarment, depending on the severity of the misconduct. - Decisions by the ALJ can be appealed by either party to the Treasury Appellate Authority, which represents the final agency action. - A disbarred practitioner must wait a minimum of five years before they can petition the OPR for reinstatement.
For more free exam prep tools, practice questions, and AI-powered explanations, visit https://open-exam-prep.com/ or YouTube Channel: https://www.youtube.com/@Open-exam-prep
