Allen Matkins Leck Gamble Mallory & Natsis LLP

555 South Figueroa Street, 9th Floor
Los Angeles, CA 90071, United States

  • 213-622-5555

Shareholder Rights Project Rewrites Website

Last week when I visited the Shareholder Rights Project’s website, I noted that the SRP described itself as “representing and advising five institutional investors, four public pension funds and one foundation”. Not being sure…more
| Finance & Banking, Law Practice Products & Services, Securities Law

SEC Condemns Breach Of Client Confidences While Offering Possible Bounties For Breaches

Yesterday, the Securities and Exchange Commission announced that it had “charged a California-based attorney and his wife with insider trading on confidential information obtained from a corporate client.” According to the…more
| Commercial Law & Contracts, Finance & Banking, Business Torts, Science, Computers, & Technology, Securities Law

The Shareholder Rights Project: Advice And Representation

Professor (and former SEC Commissioner) Joseph A. Grundfest and incumbent SEC Commissioner Daniel M. Gallagher have certainly fomented a spirited donnybrook over the Shareholder Rights Project at Harvard. As discussed in this…more
| Commercial Law & Contracts, Securities Law

This May Not Be Rocket Science, But Is NASAA’s Form D Filing Fee Legal?

Earlier this week, the North American Securities Administrators Association (aka NASAA) announced the launch of its Electronic Filing Depository (EFD). The EFD allows issuers to file Form Ds in Rule 506 offerings online. A…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

9th Circuit Upholds Issue Preclusion In Subsequent Derivative Suit

Derivative suits rarely arrive alone. When something goes awry, directors and officers can be expected to see multiple suits based on demand futility as well as wrongful demand refusal. Often, suits will be filed at different…more
| Civil Procedure, Commercial Law & Contracts, Securities Law

Ninth Circuit Requires Particularity In All Elements Of Securities Fraud Pleading

Sometimes, I find it useful to take a step back and review the legal standard applicable to securities fraud claims under Section 10(b) and Rule 10b-5. To stay in court, and securities litigation all about surviving motions to…more
| Civil Procedure, Commercial Law & Contracts, Business Torts, Securities Law

California Environmental Law and Policy Update - December 2014

Environmental and Policy Focus: State court may tighten review process for building super-sized homes - SFGate.com - Dec 8: In a case that could redefine the scope of California’s environmental laws, the state Supreme…more
| Energy & Utilities, Environmental Law, Zoning, Planning & Land Use, Transportation

In Texas Can Some Shares Be More Equal Than Others?

Although Rome before Augustus is often described as a republic, it was in many respects ruled by the wealthy who jealously guarded their power. So it was with Rome’s comitia centuriata. In theory, this was an assembly of the…more
| Commercial Law & Contracts, Securities Law

California Environmental Law and Policy Update - December 2014 #2

Environmental and Policy Focus - California drought-relief bill passes House: SFGate.com - Dec 9: On December 9, the House approved a bill designed to give state and federal agencies authority to move more water in coming…more
| Energy & Utilities, Environmental Law, Zoning, Planning & Land Use, Transportation

SEC Seeks To “Overrule” Fifth Circuit Whistleblower Interpretation

In Asadi v. G.E. Energy United States, L.L.C., 720 F.3d 620 (5th Cir. 2013), the Fifth Circuit Court of Appeals held that an employee who reported a suspected Foreign Corrupt Practices Act violation internally but not to the…more
| Administrative Law, Civil Procedure, Civil Rights, Labor & Employment Law, Securities Law

Commissioner Gallagher Posits SEC Would Prevail Against Harvard University

Just this week, Commissioner Daniel M. Gallagher and former Commissioner Joseph A. Grundfest issued a draft of a paper that takes on the Harvard Shareholder Rights Project. The Harvard SRP describes itself as “a clinical…more
| Commercial Law & Contracts, Securities Law

Nevada Poised To Increase Output Of Reported Decisions

In November, the voters of Nevada approved Question 1 which amended Article 6 of the Nevada Constitution to create an intermediate Court of Appeals. California’s intermediate court is styled the Court of Appeal (no “s”). …more
| Civil Procedure, Commercial Law & Contracts, Constitutional Law, Securities Law

Does The DBO’s Draft Tribal Consultation Policy Violate the Public Records Act?

Three years ago, California Governor Edmund G. Brown Jr. issued Executive Order B-10-11. Among other things, Governor Brown ordered: that it is the policy of this Administration that every state agency and department…more
| Administrative Law, Conflict of Laws, Indigenous Peoples

Should Judicial Deference To The SEC Be Strong, Weak or Non-Existent?

This post yesterday by Broc Romanek alerted me to Judge Leonard P. Stark’s recent opinion in Trinity Wall Street v. Wal-Mart Stores, Inc., 2014 U.S. Dist. LEXIS 165431 (D. Del. Nov. 26, 2014). The case involved Wal-Mart’s…more
| Administrative Law, Civil Procedure, Commercial Law & Contracts, Securities Law

Renewable Energy Update -- November 2014 #2

Renewable Energy Focus: U.S. solar consolidation seen before tax credit expires: Huffington Post - Nov 21: The controversial government program that funded failed solar company Solyndra, and became a lighting rod in the…more
| Energy & Utilities, Environmental Law, Taxation
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