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Securities Fraud

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Halliburton v Erica P. John Fund
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Securities Exchange Act
67
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55
Basic v Levinson
50
FINRA
48
Misrepresentation
47
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Illegal Tipping
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US v Newman
42
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DOJ
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Presumption of Reliance
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Securities Act of 1933
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Fiduciary Duty
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Statute of Limitations
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Financial Sector
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Amgen Inc. v Connecticut Retirement Plans
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Australia
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Market Manipulation
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RMBS
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Banks
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EU
21
Sarbanes-Oxley
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Section 10(b)
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Settlement
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Civil Monetary Penalty
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17
Audits
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Omnicare
16
PSLRA
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Amgen
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Financial Institutions
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Pharmaceutical Industry
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Price Manipulation
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Sanctions
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ALJ
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Stocks
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Banking Sector
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Board of Directors
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Derivative Suit
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Goldman Sachs
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Omnicare v Laborers District Council
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Bribery
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Canada
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Financial Conduct Authority (FCA)
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Financial Statements
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JOBS Act
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JPMorgan Chase
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Libor
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Mergers
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OCIE
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Publicly-Traded Companies
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Rebuttable Presumptions
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Reporting Requirements
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Retaliation
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Shareholders
12
Swaps
11
Breach of Duty
11
C-Suite Executives
11
Mortgage-Backed Securities
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Personal Liability
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Pump and Dump
11
Putative Class Actions
11
Reversal
11
Statute of Repose
11
Summary Judgment
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Acquisitions
10
Administrative Hearings
10
Auditors
10
Citigroup
10
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10
Deferred Prosecution Agreements
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Extraterritoriality Rules
10
Internal Controls
10
Investment Advisers Act of 1940
10
Money Laundering
10
Municipal Bonds
10
Offering Fraud
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10
Pleadings
10
Registration Statement
10
SLUSA
10
Whistleblower Awards
9
Anti-Money Laundering
9
Bitcoin
9
Dark Pool
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Discovery Rule
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European Securities and Markets Authority (ESMA)
9
False Claims Act (FCA)
9
Gabelli v SEC
9
High Frequency Trading
9
Investment Fraud
9
Morgan Stanley
9
Securities Violations
9
Unregistered Securities
9
Young Lawyers
8
Bank of America
8
Barclays
8
Bonds
8
Brokers
8
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EB-5
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ERISA
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Investment
8
Mary Jo White
8
Morrison v National Australia Bank
8
Mutual Funds
8
Nvidia
8
Spoofing
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Statement of Opinion
8
Stock Prices
8
Tolling
7
Accounting Fraud
7
Appointments Clause
7
Bank Fraud
7
Bernie Madoff
7
Commercial Bankruptcy
7
Commodities
7
Conspiracies
7
Corporate Governance
7
Crowdfunding
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D&O Insurance
7
Evidence
7
FinCEN
7
Hackers
7
Internal Investigations
7
Investment Management
7
Janus Capital Group
7
Japan
7
Mail Fraud
7
Motion to Dismiss
7
Offerings
7
Patents
7
Penalties
7
Prejudgment Interest
7
Risk Assessment
7
Standing
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Unregistered Brokers
7
Virtual Currency
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Wells Fargo
6
Anti-Corruption
6
Cease and Desist Orders
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Clawbacks
6
Dell
6
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FDA
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FDIC
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6
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Healthcare
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IPO
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6
Municipalities
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NFA
6
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6
Private Securities Litigation Reform Act of 1995
6
Public Offerings
6
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Regulatory Oversight
6
Risk Alert
6
Risk Management
6
Willful Misconduct
6
Yahoo!
5
Advertising
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Aiding and Abetting
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Anti-Dumping Duty
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Avon
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Books & Records
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CEOs
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Chief Compliance Officers
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Collateralized Debt Obligations
5
Corruption
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Customs
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5
Deutsche Bank
5
Directors
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DOL
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EMIR
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Energy Sector
5
Federal Rules of Civil Procedure
5
Foreign Investment
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Form 10-Q
5
Forum Selection
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GAAP
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Hong Kong Securities and Futures Commission (HKSFC)
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Initial Public Offerings
5
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ITC
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Judge Rakoff
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Kickbacks
5
Martin Shkreli
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Medicare
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5
Pensions
5
Rating Agencies
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RBS
5
Regulation S-K
5
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5
Rule 23
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S&P
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Serious Fraud Office
5
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Termination
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Trading Platforms
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4
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Algorithmic Trading
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Anti-Retaliation Provisions
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Apple
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Best Buy
4
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Collateralized Loan Obligations
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Commodities Exchange Act
4
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Controlling Stockholders
4
Corporations Code
4
Countervailing Duties
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4
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Data Security
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Demand Futility
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HSBC
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Jury Trial
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Life Sciences
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Material Disclosures
4
Material Misrepresentation
4
Merger Agreements
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MSRB
4
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4
New Legislation
4
NYSE
4
Ontario Securities Commission (OSC)
4
Pension Funds
4
Pharmacies
4
Preemption
4
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Prudential Regulation Authority
4
Pyramid Schemes
4
Qualcomm
4
Recordkeeping Requirements
4
Registration Requirement
4
Regulation D
4
REIT
4
Retailers
4
Rule 10(b)
4
SAC Capital
4
SEC Examination Priorities
4
Securities Act
4
Settlement Agreements
4
Shell Corporations
4
Short Sales
4
Social Networks
4
Strategic Enforcement Plan
4
Subprime Mortgages
4
Swap Dealers
4
Tippees
4
Twitter
4
Twombly/Iqbal Pleading Standard
4
UK Brexit
4
Venture Capital
4
Yates Memorandum
3
Administrative Appointments
3
Airlines
3
Alibaba
3
American Pipe & Construction Co. v. Utah
3
Anti-Bribery
3
Appraisal
3
Asset Management
3
Automotive Industry
3
Bank of England
3
Blockchain
3
Burden of Proof
3
Business Valuations
3
Bylaws
3
CAFA
3
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3
Chadbourne & Parke LLP v Troice
3
Clearing Agencies
3
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3
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3
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3
CPOs
3
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3
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3
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3
Cy Pres Funds
3
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3
Damages
3
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3
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3
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3
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3
Due Diligence
3
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3
Duty of Loyalty
3
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3
Emerging Growth Companies
3
ETFs
3
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3
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3
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India
3
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KBR (formerly Kellogg Brown & Root)
3
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Martoma
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Memorandum of Understanding
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Merrill Lynch
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Microsoft
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Neither Admit Nor Deny Settlements
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No-Action Relief
3
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3
OCC
3
OIG
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OSHA
3
Pay-To-Play
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3
Petrobras
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3
Price-Fixing
3
Private Equity Funds
3
Private Offerings
3
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3
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Quid Pro Quo
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3
Regulation SHO
3
Restitution
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3
Safe Harbors
3
Section 25401
3
Security-Based Swaps
3
Self-Reporting
3
Sentencing
3
Seventh Amendment
3
SIFIs
3
Social Media
3
Stanford Ponzi Scheme
3
Stock Trades
3
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Tender Offers
3
Theranos
3
Third-Party Service Provider
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3
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3
Unjust Enrichment
3
Valeant
3
Video Games
3
Wrongful Termination
3
WTO
2
10b5-1 Plans
2
12b-1 plan
2
Abuse of Discretion
2
Accounting Controls
2
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2
Acquittals
2
Actual or Constructive Knowledge
2
Administrative Authority
2
Administrative Review Board
2
Adverse Employment Action
2
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2
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2
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2
Apparent Authority
2
Appraisal Rights
2
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Article II
2
ASIC
2
Asset-Backed Securities
2
ATMs
2
AU Optronics Corp
2
Australian Securities and Investments Commission
2
Auto Manufacturers
2
Bad Faith
2
Balance Sheets
2
Bank Secrecy Act
2
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2
Beneficial Owner
2
Best Interest Contract Exemptions
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BHP Billiton
2
BP
2
Brazil
2
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2
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2
Capital Requirements
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CCPs
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CFOs
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City of Pontiac
2
Civil Forfeiture
2
Class Action Arbitration Waivers
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CMS
2
Complex Litigation
2
Conflict Mineral Rules
2
Construction Industry
2
Consumer Lenders
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Cooperation
2
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2
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2
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2
Countrywide
2
Credit Ratings
2
Credit Suisse
2
Creditors
2
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2
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Delaware General Corporation Law
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Dirks v SEC
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Germany
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Goodyear
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Nintendo
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Russia
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