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Defense of Attorney Issuing 144 Opinion Letters with inadequate information

Defense of Attorney Issuing 144 Opinion Letters with inadequate information

Defense of Attorney Issuing 144 Opinion Letters with inadequate information

Attorney:  Attorney Thomas L Gourde

Area of Law: Civil Law

Date: 01/01/2009

State Filed: California

Settlement: Favorable Result Without a Loss of her License

Mr. Gourde represented an attorney of a firm that provided 144 Opinion letters (confirming restricted company stocks were transferrable) to stock transfer agents, but was alleged to have relied on inadequate information when issuing the letters. Mr. Gourde was able to negotiate a favorable result for his client with the SEC and no restrictions on her law license.