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PEOPLE v. EDWARD D. JONES & CO.

No. C053407.

65 Cal.Rptr.3d 130 (2007)

154 Cal.App.4th 627

The PEOPLE, Plaintiff and Appellant, v. EDWARD D. JONES & CO., Defendant and Respondent.

Court of Appeal of California, Third District.

August 24, 2007.

Attorney(s) appearing for the Case

Bill Lockyer and Edmund G. Brown, Jr., Attorneys General, Thomas Greene, Chief Assistant Attorney General, Mark J. Breckler, Senior Assistant Attorney General, Jon M. Ichinaga, Supervising Deputy Attorney General, W. Richard Sintek, Deputy Attorney General, for Plaintiff and Appellant.

Saint Martin & Fan and Amy Fan, Los Angeles, for North American Securities Administrators Association, Inc.; Rex Staples; Stephen Hall, Redwood City; Joseph Brady; and Lesley Walker, as Amicus.Curiae on behalf of Plaintiff and Appellant.

Keesal, Young & Logan, Scott T. Pratt and Bentley P. Stansbury III, Long Beach; Greensfelder, Hemker & Gale, David M. Harris and David M. Neimeier, for Defendant and Respondent.

ROBIE, J.

The People of the State of California sued Edward D. Jones & Co. (Edward Jones), a brokerage firm, for failing to adequately disclose to investors and potential investors certain "shelf-space" agreements under which Edward Jones received additional compensation for selling certain preferred mutual funds. The trial court dismissed the action on the ground it was preempted by federal law—namely, the...

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