Posts from September 2012.

On September 21, 2012, Governor Brown signed Senate Bill 323 (Vargas) (the "Bill") into law.  Specifically, Section 20 of the Bill adds the California Revised Uniform Limited Liability Company Act ("RULLCA") to the Corporations Code to govern the formation and operation...

Last month, the California Court of Appeal in San Francisco issued an opinion in Lickiss v. Financial Industry Regulatory Authority explicitly permitting courts across the state to use an equitable balancing test in order to determine whether a broker's CRD...

Yesterday the Securities and Exchange Commission instituted administrative proceedings against nationally syndicated radio personality and author Raymond J. Lucia. Lucia is the owner of Raymond J. Lucia Companies, Inc., a former federally registered investment adviser doing business as RJL Wealth...

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