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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Bucy v. Edward D. Jones & Co., L.P.
on

In hiring or employing registered representatives, federally-registered securities brokers and brokerages have no duty to further explain the legal consequences of a clear, explicit,

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AER Advisors, Inc. v. Fidelity Brokerage Services, LLC
on

By Paul J. Dubow

There is no good faith requirement in the provision of the Bank Secrecy Act that gives financial institutions immunity for voluntarily disclosing a possible violation of a law or a regulation to a government agency.

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Evans v. ZB, N.A., dba California Bank & Trust
on

By Ben Suter

The District Court’s order dismissing the Complaint is reversed because Plaintiff’s alleged sufficient factual matter to support some,

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