Allen Matkins Leck Gamble Mallory & Natsis LLP

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

  • 213-622-5555

Is Anything Fishy With The SEC’s Whistleblower Inquiries?

Yesterday, Rachel Louise Ensign of The Wall Street Journal wrote that the SEC recently sent letters “to a number of companies asking for years of nondisclosure agreements, employment contracts and other documents”.  According to…more
| Administrative Law, Business Organizations, Civil Procedure, Securities Law

Finders Bill Was Lost, But Now Is Found

In the last legislative biennium, the Corporations Committee of the Business Law Section of the California State Bar sponsored a bill, AB 713 (Wagner) to clarify the status of finders under the California Corporate Securities…more
| Business Organizations, Securities Law

The “Long Arm” Of Section 2115 May Be Shorter Than Some Believe

Recently, I came across a prospectus that included a description of California Corporations Code Section 2115 under the caption “Description of Capital Stock”. The description began..…more
| Business Organizations

Renewable Energy Update - February 2015 #3

Renewable Energy Focus: Citigroup sets $100 billion funding goal for green projects - Bloomberg - Feb 18: Citigroup Inc. plans to lend, invest, and facilitate deals worth $100 billion by 2025 to support projects that will…more
| Energy & Utilities, Environmental Law, Transportation

California Environmental Law & Policy Update - February 2015 #3

Environmental and Policy Focus: California lawmakers introduce sweeping new measures to increase renewable energy, cut fossil fuel use - San Jose Mercury News - Feb 10: Last Tuesday, California lawmakers unveiled a sweeping…more
| Energy & Utilities, Environmental Law

To Conjoin Or Not To Conjoin – California Sometimes Gets It Wrong

This is as an easy mistake to make. I say so because I’ve made it more than once. The name of the landmark Depression era legislation regulating our national securities markets is the Securities Exchange Act of 1934; the name…more
| Securities Law

Indicate By Check Mark If This Instruction Makes No Sense: v

I wonder if I’m alone in being completely mystified by the following instruction that appears on the cover page of the SEC’s Form 10-K: Indicate by check mark if the registrant is not required to file reports pursuant to…more
| Administrative Law, Securities Law

SEC’s Rule 14a-8 Volte-Face Is Pointlessly Outré But It Does Have Real World Ramifications

Readers may recall that last December Whole Foods Market, Inc. had secured the SEC staff’s concurrence in excluding a shareholder access proposal submitted by Jim McRitchie. Then, SEC Chair Mary Jo White directed the staff “to…more
| Commercial Law & Contracts, Labor & Employment Law, Finance & Banking, Securities Law

Renewable Energy Update - February 2015 #2

Renewable Energy Focus: Dianne Feinstein pushes California desert protection: The Desert Sun - Feb 10: The political landscape has changed, with Republicans now controlling both the House and Senate, but Democratic…more
| Elections & Politics, Energy & Utilities, Environmental Law

Does The SEC Have Hedging Backwards?

Last week, the Securities and Exchange Commission announced that it is proposing new rules requiring “disclosure about whether directors, officers and other employees are permitted to hedge or offset any decrease in the market…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

California Environmental Law & Policy Update - February 2015 #2

Environmental and Policy Focus: State Water Board launches investigation into claims of senior water rights - Allen Matkins - Feb 9: On February 4, 2015, the State Water Resources Control Board issued an order seeking…more
| Conflict of Laws, Energy & Utilities, Environmental Law, Zoning, Planning & Land Use, Transportation

Revealed! The Numbers The Attorney General Didn’t Want You To See

Since 2003, the California Attorney General has been required to maintain “a whistleblower hotline to receive calls from persons who have information regarding possible violations of state or federal statutes, rules, or…more
| Civil Rights, Labor & Employment Law

Did The SEC Violate The Administrative Procedure Act?

Yesterday, Broc Romanek wrote about the joint dissent issued by Commissioners Daniel M. Gallagher and Michael S. Piwowar with respect to the Commission’s recent adoption of Regulation SBSR which requires regulatory reporting of…more
| Administrative Law, Securities Law

CalPERS Global Governance Program Targets Income Inequality

The Investment Committee of CalPERS’ Board of Administration will meet next Tuesday. The committee, which is comprised of all 13 members of the Board of Administration, is responsible for, among other things, investment…more
| Commercial Law & Contracts, Finance & Banking, Labor & Employment Law, Securities Law

Director Claims That She Ne’er Consented, Court Finds Consent

Last April, I warned that October 1, 2014 would be a critical day for directors of Nevada corporations. See link below.  Now, we have a case giving proof to my warning.  Advanced Vision Solutions, Inc. v. Lehman, 2015 U.S. Dist…more
| Civil Procedure, Commercial Law & Contracts
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Areas of Practice
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100+ Attorneys

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