The PEOPLE, Plaintiff and Respondent,
v.
Javier O. SALAS et al., Defendants and Appellants.
Supreme Court of Californiahttps://leagle.com/images/logo.png
February 6, 2006.
February 6, 2006.
Attorney(s) appearing for the Case
Douglas G. Benedon, under appointment by the Supreme Court, Benedon & Serlin and Gerald Serlin, Woodland Hills, for Defendant and Appellant Javier O. Salas.
Neil Rosenbaum, under appointment by the Supreme Court, San Francisco, for Defendant and Appellant Stephen C. Patrick.
Bill Lockyer, Attorney General, Robert R. Anderson, Chief Assistant Attorney General, Pamela C. Hamanaka, Assistant Attorney General, Susan Sullivan Pithey, Thien Huong Tran, Victoria B. Wilson, Donald E. De Nicola and Lance E. Winters, Deputy Attorneys General, for Plaintiff and Respondent.
Steve Cooley, District Attorney (Los Angeles), Curt Livesay, Chief Deputy District Attorney, Peter Bozanich, Assistant District Attorney, William Woods and Richard A. Lowenstein, Deputy District Attorneys, as Amicus Curiae on behalf of Plaintiff and Respondent.
Supreme Court of California
KENNARD, J.
Corporations Code section 25110 prohibits the sale of unregistered securities.1 Violation of this prohibition is a crime, punishable by incarceration for up to three years and a fine up to $1 million. (§ 25540, subd. (a).) But not all securities must be registered. There are many grounds of exemption from the registration requirement, and sale of an unregistered but exempt...
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