SEC v. Feng
on

By Paul J. Dubow

*Identification of an investment entity as a limited partnership and the promise of a fixed return indicates that the investment is a security.

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Fan v. StoneMor Partners LP
on

By David C. Franceski, Jr.

The use of equity proceeds from future investors to pay down borrowings used for distributions to current investors of “pre-need” revenue from burial service sales otherwise tied up in state-mandated trusts is not federal securities fraud,

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Gupta v. Morgan Stanley Smith Barney, LCC
on

By James L. Komie

An employee is bound to arbitrate under the employer’s modified arbitration program requiring arbitration of discrimination claims where he failed to opt out after receiving an email regarding the modified policy,

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Walters v. Boustead Securities LLC
on

By Paul J. Dubow

*Although an appraisal may sometimes be considered to be an arbitration, the underlying contract must specifically designate it as such.

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Snyder v. JP Morgan Securities LLC
on

By Noah D. Sorkin

Plaintiff’s various causes of action in Breach of Contract lawsuit are dismissed where facts allege do not support claims or plaintiff effectively waived his claims.

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Barrett Financial of North Jersey, LLC v. Creative Financial Group of New Jersey
on

By David C. Franceski, Jr.

*In the absence of an express contractual undertaking, the Court will not imply an obligation on the part of a terminating financial firm to “buy” the terminated agent’s business based solely on claimed lack of good faith and fair dealing.

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