Freeman v. Jergins

VALLÉE, J.

I dissent. I am of the opinion that plaintiff, whether he be called a “finder,” an “introducer,” or what not, was a broker within the meaning of the Corporate Securities Act and that he was required to have a license. A broker includes every person, other than an agent, who engages either wholly or in part in the business of selling, offering for sale, negotiating for the sale of, or otherwise dealing in, any security issued by others. (Corp. Code, § 25006.) “Sale” includes every “attempt to dispose” of a security, and it includes “an attempt to sell” and “a solicitation of a sale.”…