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CALIFORNIA CORPORATE & SECURITIES LAW

SEC Charges Attorney For Allegedly False Legal Opinion

Last week, the Securities and Exchange Commission announced charges against an attorney who was allegedly involved in the filing of false registration statements.  The SEC’s order instituting proceedings alleges that the attorney provided opinion letters in support of registration statements filed by multiple shell companies: In late 2011 and 2012, Dalmy, an attorney, provided opinion…

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OAH Seeks Opinion Regarding Appearances By Non-Attorneys and Out-of-State Attorneys

I’ve written on several occasions about the Office of Administrative Law.  It should not be confused with the Office of Administrative Hearings.  The OAH provides administrative law judges who conduct hearings for over 1500 state and local government agencies.  In many cases, although the hearings are quasi-judicial, non-attorneys and out-of-state attorneys often appear on behalf of…

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In This Church Versus State Battle, The State Prevailed

Borrowing a bon mot from the riding arena, there are two kinds of California corporate lawyers, those who have had a filing rejected by the Secretary of State’s office and those that will.  As almost every corporate lawyer in California knows, it is frustrating and discomfiting to have a filing bounced.  But as Chernyshevsky, Tolstoy, and…

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