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Brokers Appeals

Court Holds That Former Broker Did Not Owe Fiduciary Duties To Client Regarding An Investment

by Winstead PC on

In Holmes v. Newman, the plaintiff made an investment in a start-up internet company that provided betting tips to gamblers for a fee. No. 01-16-00311-CV, 2017 Tex. App. LEXIS 6177 (Tex. App.—Houston [1st Dist.] July 6, 2017,...more

Chris Lazarini Discusses Burden-Shifting Analysis in Discrimination Case

by Bass, Berry & Sims PLC on

Bass, Berry & Sims attorney Chris Lazarini discussed a case in which the plaintiff, a former stockbroker, sued his employer after he was terminated claiming discrimination under the ADA and ADEA. Under these statutes and...more

Chris Lazarini Comments on When Appellate Courts May Consider Arguments Not Raised Below

by Bass, Berry & Sims PLC on

Bass, Berry & Sims attorney Chris Lazarini commented on a case in which a former commodities broker appealed a decision ordering him to pay restitution to his former firm which had made its customers whole after the broker's...more

‘I’m yours … and yours’: California Supreme Court puts restrictions on ‘dual agents’

by Thompson Coburn LLP on

The California Supreme Court just closed a loophole as to whether a salesperson’s duties to a buyer in a real estate transaction – when that salesperson’s broker is acting as a “dual agent” – includes the duty to learn and...more

The InterConnect FLASH! - April 2015: Be On Guard: North Carolina Decision Continues Worrisome Trend

by Benesch on

On March 17, 2015, in Atiapo v. Goree Logistics, Inc., the North Carolina Court of Appeals affirmed an Industrial Commission Opinion and Award holding that Owen Thomas, Inc. (“Owen Thomas”), a federally licensed...more

NC Court of Appeals Finds Freight Broker Liable for Driver's Workers' Comp Claim

Motor freight brokers hold federal licenses that allow them to locate suitable transportation services for their shipper clients. Brokers never actually handle or transport the freight, but act as an intermediary to pair...more

Is a Licensed Securities Dealer a “Professional” Under Alabama Law Prohibiting Enforcement of Nonsolicitation Agreements Against...

by Burr & Forman on

The Alabama Court of Civil Appeals released a slip opinion on May 16, 2014 addressing enforcement of a nonsolicitation agreement against a licensed securities broker. See G.L.S. & Associates, Inc., and G.L. Smith &...more

Is A Licensed Securities Dealer A “Professional” Under Alabama Law Prohibiting Enforcement Of Nonsolicitation Agreements Against...

by Burr & Forman on

The Alabama Court of Civil Appeals released a slip opinion on May 16, 2014 addressing enforcement of a nonsolicitation agreement against a licensed securities broker. See G.L.S. & Associates, Inc., and G.L. Smith &...more

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Cybersecurity

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