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    Is The CSL (Over)Due For A Makeover?

    One of the first registered public offerings that I worked on was for a small technology company.  The lead underwriter was a regional investment banking firm.  Although he had considerably more experience in securities law than me, the...

    California Securities Laws, Department of Business Oversight, Department of Corporations

    DBO Reports Post-Pandemic Spike In Consumer Complaints, Calls and Inquiries

    The California Department of Business Oversight announced last week that it has experienced a dramatic increase in consumer complaints, calls and inquiries following the onset of the Covid-19 pandemic.  According to the Department, consumer...

    California Securities Laws

    Renegotiating A Limited Partnership Or LLC Agreement?  Don't Forget The California Corporate Securities Law

    Twice-Sold Sales?

    California Securities Laws

    Bharara Task Force Overlooks California Insider Trading Statute

    I have long advocated for a federal statutory definition of insider trading because I believe that the current approach has been for the courts to convict first and then explicate the theory supporting the conviction in a later appellate...

    California Securities Laws

    Court Finds Film Investor's Lawsuit Targeted Defendants' Free Speech Rights

    The introductory paragraph in Ojjeh v. Brown, 2019 Cal. App. LEXIS 1304, suggests that the case may involve allegations of securities fraud:

    California Securities Laws

    Why Your Next Director Might Not Be An LLC

    From time to time the question arises about whether a limited liability company, corporation or some other form of entity might serve as a director.  This is, in fact, a question that I tackled four years ago in this post.  The short answer is...

    California Securities Laws

    Cryptocurrency Is Now A Cartoon
    For those still in the dark about cryptocurrency, the North American Securities Administrators Association (aka NASAA) has released an animated video on the subject.  According to NASAA, the video " focuses on concerns individuals should consider...

    California Securities Laws

    Does The Sheriff Need A Permit To Sell Shares?

    Last week, I wrote about a recent Court of Appeal decision allowing for the possibility that a sale of shares at a sheriff's sale could amount to conversion.  Duke v. Superior Court, 2017 Cal. App. LEXIS 1116.  A fundamental principle underlying the...

    California Securities Laws, nonissuer transaction, reeve, Shire, Magna Carta, Section 25011, Section 25104(f), Section 25130, sheriff's sale

    Did The Legislature Grant A License To Lie To The Cannabis Industry?

    An entire division of California's Business & Professions Code is devoted to a single plant genus - Cannabis.  The official name of the division is the "Medicinal and Adult-Use Cannabis Regulation and Safety Act" aka the MAUCRSA.  Bus. & Prof. Code...

    Bus. & Prof. Code, California Securities Laws, cannabis cooperative, Corporate Securities Law, association, Business and Professions, exemption, marijuana, MAUCRSA, Section 26000, Section 26228

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