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Poole & Shaffery, LLP

Sidebar Issue 70 | September 2016

Poole & Shaffery, LLP is a full service business law firm with 20 plus attorneys located throughout the State of California who focus on a variety of different areas of litigation, counseling and business related transactional services, including: employment law counseling; defense of employment related lawsuits; all manners of business litigation and mediation; business contracts and transactions including business formation, franchise operations, business sale, mergers and acquisition; non-profit and tax-exempt organizations; estate planning, probate and trust administration; securities registration and compliance; construction law, land use and development; government affairs (registered lobbyist in Sacramento, CA; County of Santa Clarita and City of Santa Clarita, CA); real estate transactions and litigation; intellectual property matters including trade secrets, copyrights, trademark, cyber security and data breach; insurance law and extra contractual litigation; product liability; premises liability; and trucking and transportation claims.

Disclaimer: The articles contained herein are intended for general information purposes only. Nothing contained in this document is legal advice, nor should it be relied upon as such.




Santa Clarita
San Francisco
Santa Clarita
Walnut Creek
Orange County
Tel.: (855) 997-7522



By: Claudia J. McDowell
Beware the Bad Actor

It is fairly obvious to most of us what bad acting looks like – we know it when we see it. However, "bad acting" has significant ramifications under Federal securities laws. In 2013, the Securities and Exchange Commission (the "SEC") adopted bad actor disqualification provisions which apply to securities offerings conducted under Rule 506 of Regulation D of the Securities Act of 1933, as amended (the "1933 Act"). This bad actor provision was adopted to implement certain provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act.

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By: None
Brian Koegle and Lisa Odom Recognized as Trusted Legal Advisors

Join us in congratulating partners Brian E. Koegle and Lisa Odom on being awarded the designation of 2016 Trusted Advisors by the San Fernando Valley Business Journal. Koegle also received recognition as one of three Outstanding Community Service honorees. Partners Hunt C. Braly, Chris S. Jacobsen and Samuel R.W. Price were named finalists in the awards.

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By: None
Disability Policy Update in Santa Clarita by Brian E. Koegle of Poole & Shaffery, LLP

In conjunction with the Santa Clarita Valley Mayor's Committee, Brian E. Koegle of Poole & Shaffery, LLP, will speak on October 3, 2016 regarding recent developments in the area of disability policies in the workplace and the hiring of individuals with physical and mental disabilities. This speaking engagement will take place at the College of the Canyons – Institute of Culinary Education Facility at 12:00 p.m.

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By: None
California Labor Commissioner Reaches Settlement of $190,000.00 in Back Pay for Restaurant Workers

The California Department of Industrial Relations reached a $190,000.00 settlement on behalf of three employees of Nem Nuong Ninh Hoa, a well-known local restaurant located in Rosemead, California. The case began when one worker filed a wage claim in May 2012 with the remaining two filing claims by January 2013.


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