Trust FundsIntermediateCalifornia Exam

A broker who violates trust fund regulations is subject to which of the following penalties?

AA warning letter only for a first offense, per California trust fund record-keeping requirements
BDRE license suspension or revocation, civil liability, and possible criminal chargesCorrect
CA fine of $500 maximum per violation, under standard California trust fund handling rules
DMandatory continuing education only, as required by DRE trust account regulations

Why DRE license suspension or revocation, civil liability, and possible criminal charges Is Correct

Answer B: DRE license suspension or revocation, civil liability, and possible criminal charges

Trust fund violations are among the most serious DRE infractions. Depending on the nature and severity, penalties can include license suspension or revocation, civil liability to harmed parties, and criminal prosecution for theft or embezzlement.

Exam Tip: Trust Funds

Trust fund questions test the rules for handling client money. Know the deadlines for depositing trust funds, what constitutes commingling vs. conversion, and the penalties for violations.

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