B. Riley FBR, Inc. f/k/a B. Riley & Co., LLC v. Clarke
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By Samuel B. Edwards

Court grants in part and denies in part a motion to dismiss, specifically finding that the plaintiff had pled fraud with sufficient particularity to survive dismissal,

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Explained Award: Broker Tagged with Full Liability for Both Note Debt and Settlement of a Customer Claim
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Note cases are pretty common these days, but broker-dealers pursuing and winning on indemnification claims against brokers are not so common. This case has both,

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It Took a While, but the Inactive Industry Party Arbitration Rule has Been Filed with the SEC
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By George H. Friedman, SAA Editor-in-Chief

FINRA on November 5 filed with the SEC a long-awaited rule amendment that would give investors greater rights when arbitrating with inactive industry parties.

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Coit Capital Securities, LLC v. Turbine Asset Holdings, LLC
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By David C. Franceski, Jr.

Counterclaims in a breach of contract action, which are not purely defensive in nature, but seek an affirmative declaration that Letter Agreements at issue are void and unenforceable,

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FINRA Stats, 9/19: Big Surge in August Filings Ebbs; Return To Calm
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Remember in August, case filings suddenly shot up to 501 for the month, from an average of about 300 during the first seven months?

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Tater v. OANDA Corporation
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By Ben Suter

The Court dismisses the complaint on forum non conveniens grounds, determining that the proper venue was in the Province of Ontario.

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