California DFPI Enforcement Actions - September 2025

The California Department of Financial Protection and Innovation (DFPI) has released a summary of 14 enforcement actions taken in September 2025. These actions include Desist and Refrain Orders, Accusations to Bar individuals from employment in the financial industry, Notices of Intent to Levy Administrative Penalties, and Consent Orders. Violations cited span unlawful broker-dealer activity, investment adviser misconduct, digital financial asset law violations, mortgage loan originator license revocations, debt collection law violations, and California Financing Law violations.

These enforcement actions indicate active regulatory oversight by the DFPI in the financial sector. Regulated entities and individuals involved in broker-dealer activities, investment advising, digital assets, mortgage lending, debt collection, and financing must review these actions to understand the types of violations being prosecuted and the potential penalties. While specific compliance deadlines are not detailed for these past actions, the broad range of violations underscores the need for robust compliance programs to avoid similar enforcement measures, which can include barring individuals from the industry and imposing administrative penalties.