California Corporations Code

§ 25235

CORP § 25235Div. 1 · Title 4 · Part 3 · Ch. 3

Statute text

It is unlawful for any investment adviser, directly or indirectly, in this state:

(a)To employ any device, scheme, or artifice to defraud any client or prospective client.

(b)To engage in any transaction, practice, or course of business which operates or would operate as a fraud or deceit upon any client or prospective client.

…

Legislative history

Added by Stats. 1968, Ch. 88.