News & Analysis as of

Unlicensed Professionals

Stevens & Lee

New York Corporate Practice of Medicine and Its Impact on Medical Spas

Stevens & Lee on

Medical spas, or “MediSpas,” have become very popular throughout the country, including New York. For those interested in owning and operating a medical spa, understanding New York’s complex regulatory landscape governing...more

Awatif Mohammad Shoqi Advocates & Legal...

Regulating Unlicensed Virtual Asset Providers: A Comprehensive Guide

In recent years, the world has witnessed rapid growth in the popularity and adoption of virtual assets, including cryptocurrencies, non-fungible tokens (NFTs), and various other digital assets. With this rise, however, comes...more

Allen Matkins

Unlicensed Lender Parries Unfair Competition Claim

Allen Matkins on

Yesterday's post concerned discussed Lagrisola v. North American Financial Corp.,  2023 WL 7273708 (Nov. 3, 2023), in which the Court of Appeal held that a borrower had failed to plead a cause of action against an unlicensed...more

Allen Matkins

Court Of Appeal Finds No Private Right Of Action Against Unlicensed Lender

Allen Matkins on

Section 22100 of the California Financial Code prohibits persons from engaging in the business of a finance lender or broker without obtaining a license from the California Commissioner of Financial Protection & Innovation. ...more

Pierce Atwood LLP

Maine Office of Securities Enforcement Update

Pierce Atwood LLP on

The Maine Office of Securities enforces Maine’s securities laws, licenses broker-dealers, broker-dealer agents, investment advisers, and investment adviser representatives, and reviews registration statements and exemption...more

Perkins Coie

New York State Initiates Interagency Enforcement Actions Against Unlicensed Cannabis Businesses

Perkins Coie on

On June 8, 2023, Gov. Kathy Hochul (D) announced a crackdown on sales by unlicensed cannabis sellers, which could face fines of up to $20,000 a day under recent legislation allowing for enhanced enforcement. The legislation...more

Dechert LLP

SFC Takes Enforcement Action Against Private Equity Firm, a Director and Investment Manager

Dechert LLP on

The Hong Kong Securities and Futures Commission (SFC) has announced that it reprimanded and fined a Hong Kong private equity firm, SEAVI Advent Ocean Private Equity Limited (PE Firm), for employing or appointing unlicensed...more

7 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide