Allen Matkins Leck Gamble Mallory & Natsis LLP

Unregistered Sales Of Certificates Of Deposit

Last spring, the California Department of Business Oversight warned consumers that two related companies have been offering unlicensed online securities broker-dealer services and “unregistered sales of certificates of deposit…more
| Business Organizations, Conflict of Laws, Finance & Banking, Securities Law

Sustainable Development Update - December 2016

Sustainable Development Focus - U.S. voters approve billions for transit and green space - Urban Land - Dec 1 - In November, voters across the U.S. endorsed numerous state and local ballot measures approving…more
| Elections & Politics, Energy & Utilities, Environmental Law, Real Estate - Commercial, Transportation

Court Rules Fixed Income Annuity Is Not A Security Under The CSL

Because annuity contracts involve the payment of money in the expectation of future payments, one might conclude that they are securities within the meaning of the California Corporate Securities Law of 1968. Evidently, that is…more
| Civil Procedure, Civil Remedies, Insurance, Securities Law

California’s Private Fund Adviser Exemption

Before the enactment of the Dodd-Frank Act in 2010, many advisers to alternative investment vehicles, such as hedge funds, private-equity funds, and venture capital funds relied on the Section 203(b)(3) exemption from…more
| Business Organizations, Finance & Banking, Securities Law

When A Director May Not Be Interested In Director Compensation

Suppose that a corporation has three directors, A, B & C, each of whom is compensated by the corporation. Is director A financially interested in a resolution fixing the compensation of director B? Corporations Section 310(a)…more
| Business Organizations

Is The SEC’s Universal Proxy Proposal A Product Of Agency Capture?

More than six decades ago, the late Professor Marver H. Bernstein published his theory of regulatory capture in Regulating Business By Independent Commission (Greenwood Press 1955). According to his theory, agencies follow a…more
| Business Organizations, Securities Law

Court Addresses “Fair Value” Determination In Statutory Buyout Proceeding

When when a shareholder sues for involuntary dissolution, the corporation, or the holders of 50% or more of the voting power of the corporation, may avoid the dissolution by purchasing for cash the plaintiff’s shares at their…more
| Business Organizations, Commercial Law & Contracts

When Non-Voting Shares Have The Right To Vote

The California General Corporation Law authorizes a corporation to “issue one or more classes or series of shares or both, with full, limited or no voting rights”. Cal. Corp. Code § 400(a). Thus, it may be reasonable to assume…more
| Commercial Law & Contracts, Securities Law

SEC Hands Out Millions While Leaving The Public In The Dark

Last week, the Securities and Exchange Commission issued a press release announcing its decision to award $20 million “to a whistleblower who promptly came forward with valuable information that enabled the SEC to move quickly…more
| Business Organizations, Civil Remedies, Labor & Employment Law, Securities Law

California Environmental Law & Policy Update - November 2016 #3

Environmental and Policy Focus - BP to pay $14 million in settlement over gas storage tanks - San Jose Mercury News - Nov 17 - The BP oil company has agreed to pay $14 million to settle California…more
| Energy & Utilities, Environmental Law, Zoning, Planning & Land Use

Renewable Energy Update - November 2016 #2

Renewable Energy Focus - New solar, wind competitive leasing program to start for U.S. public lands - Renewable Energy World - Nov 15 - The Bureau of Land Management (BLM) has finalized a rule that creates a…more
| Energy & Utilities, Environmental Law, Taxation, Zoning, Planning & Land Use

Incorporating In Delaware May Not Eliminate Director Liability Under This California Statute

Some readers may have skipped this week’s posts discussing director liability under California Corporations Code Section 316 on the theory that the statute applies only to directors of corporations incorporated under the General…more
| Business Organizations, Securities Law

Sustainable Development Update - November 2016 #3

Sustainable Development Focus - Kaiser Permanente buys 110 MW of solar - Solar Industry Magazine - Nov 10 - Taking another step toward achieving its goal of using 100% renewable energy by 2025, Kaiser…more
| Energy & Utilities, Environmental Law, Real Estate - Commercial, Transportation

Does The Foolish Director Abide Whilst The Wise Director Flees?

Never fear? Smith Is No Longer Here - Yesterday’s post highlighted Section 316 of the California Corporations Code, a statute that imposes joint and several liability on directors who approve specified transactions such as…more
| Business Organizations

In California, Directors Who Abstain May Still Face Liability

Section 316(a) of the California Corporations Code imposes joint and several liability on directors who approve any of the following actions..…more
| Business Organizations, Civil Procedure
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