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PEOPLE EX REL. DUFAUCHARD v. O'NEAL

No B209612.

179 Cal.App.4th 1494 (2009)

THE PEOPLE ex rel. PRESTON DUFAUCHARD, as Corporations Commissioner, etc., Plaintiff and Respondent, v. ANTHONY O'NEAL, Defendant and Appellant.

Court of Appeals of California, Second District, Division Three.

As modified December 29, 2009.

CERTIFIED FOR PARTIAL PUBLICATION

Attorney(s) appearing for the Case

Collins & Bellenghi, Michael J. Collins and Julian B. Bellenghi for Defendant and Appellant.

Preston DuFauchard, Alan S. Weinger and Uche L. Enenwali for Plaintiff and Respondent.

Edmund G. Brown, Jr., Attorney General, J. Matthew Rodriguez, Chief Assistant Attorney General, Mark J. Breckler, Assistant Attorney General, and Jon M. Ichinaga, Deputy Attorney General, as Amici Curiae on behalf of Plaintiff and Respondent.

OPINION

CROSKEY, Acting P. J.—

Those who violate the Corporate Securities Law of 1968 (Corp. Code, § 25000 et seq.) may be exposed to criminal sanctions, civil suits, and administrative enforcement actions brought by the Commissioner of Corporations (Commissioner). In this case, the Commissioner brought an administrative action against defendant Anthony O'Neal for (1) the offer and sale of unqualified, nonexempt securities; and ...

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