California Department of Financial Protection and Innovation joined Commodity Futures Trading Commission, Hawaii Department of Commerce and Consumer Affairs, Securities Enforcement Branch in filing suit against precious metals dealer, majority owner, sales agent.
To help you keep abreast of relevant activities, below find a breakdown of some of the biggest events at the federal and state levels to impact the Consumer Finance Services industry.
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California District Court in Kalen v. Semper Midas Fund, Ltd disagreed with the Petitioner alleging violations of Section 25401 of the California Corporations Code. Puffery is not actionable under the federal securities laws.