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Chris Lazarini Comments on Application of Manifest Disregard of the Law

by Bass, Berry & Sims PLC on

Bass, Berry & Sims attorney Chris Lazarini commented on a case in which a former trader fraudulently purchased $1 billion in Apple shares that ultimately forced the closure of the trader's firm, Rochdale Securities. Rochdale...more

NC Business Court Stays Arbitration Pending Ruling On Piercing The Veil Claim

by Brooks Pierce on

The Order in Cold Springs Ventures, LLC v. Gilead Sciences, Inc., 2014 NCBC 10 is a procedural conundrum wrapped up in arbitration issues. The Plaintiffs in the Business Court are the respondents in a separate arbitration...more

Corporate and Financial Weekly Digest - August 2, 2013

In this issue: - CFTC Grants Relief to CTAs and IAs from Swap Block Trade Aggregation Prohibition - Sixth Circuit Affirms Decision to Enforce Arbitration Provision in Retiree Benefit Dispute - Third...more

Arbitrators Labeling Your Securities “Crap” Does Not Entitle You To Vacate The Award

In the last post, the Fifth Circuit affirmed an arbitration award against Morgan Keegan. The Ninth Circuit just affirmed an arbitration award against Morgan Keegan in a sister case. In less than two pages, the Ninth Circuit...more

Quinn Emanuel Business Litigation Report - September 2011

In This Issue: Firm News: Quinn Emanuel Launches Washington, D.C. Office to Serve IP Clients Main Article: Inequitable Conduct as a Defense to Patent Infringement in the Wake of Therasense: Defining...more

A Work in Progress: Evolving Responsibilities in the Retail Broker-Dealer/Customer Relationship

by JAMS on

The enactment of the Dodd-Frank Wall Street Reform and Consumer Protection Act1 (Dodd-Frank Act or Act) has accelerated the process of erasing the distinction between a registered investment adviser and a "mere" broker...more

The Facebook, Inc., Mark Zuckerberg v. Winklevoss

The Facebook, Inc., Mark Zuckerberg v. Winklevoss: 9th Circuit Opinion Affirming Decision of Distict CourtCalifornia

by Santiago Cueto on

On April 11, 2011, The Ninth Circuit Court of Appeals affirmed the District Court decision that denied the Winklevoss twins bid to void their settlement agreement with Facebook and Mark Zuckerberg. In his opinion, Judge...more

Resolving Shareholder Disputes in Canada

by Ellyn Law LLP on

This article, published in July 2009, discusses key issues affecting disputes among shareholders of private corporations in Ontario, Canada. The authors, Igor Ellyn and Orie Niedzviecki, both of Ellyn Law LLP Business...more

SEC Rules For Losses Caused by Stock Brokers

On behalf of the Public Investors Arbitration Bar Association (PIABA), I am pleased to comment on the above-referenced proposed changes to the Suitability Rule and the Know Your Customer Rule, FINRA Rules 2111 and 2090. PIABA...more

Caveat Consiliator: Let The Adviser Beware -- Imposing Fiduciary Duties on Fee-Based Financial Professionals

by JASON KUESER on

The author argues that fee-based financial professionals (i.e., stockbrokers, financial advisors, financial planners) should be subject to per se fiduciary duties. The article was published in the Spring 2007 edition of the...more

Caveat Consiliator

by JASON KUESER on

This article was published in the Spring 2007 edition of the PIABA Bar Journal. The author argues that fee-based investment advisors should be subject to per se fiduciary duties....more

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