Ohio Adjudicators Overrule Advisor’s Efforts to Avoid Arbitration Award Enforcement: UBS Financial Services, Inc. v. Lacava
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By Christopher G. Lazarini

*Under Ohio law, a creditor may seek to set aside a transfer by showing actual intent to defraud or constructive fraud.

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Court OKs Investment Bank’s Engagement Agreement: Centerboard Securities, LLC v. Benefuel Inc.
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By Jack D. Ballard

*Under Delaware law, a court interpreting an engagement agreement between an investment bank and a client must give unambiguous terms their plain meaning and may not use extrinsic evidence to vary the terms or to create an ambiguity.

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Raiding Defendant’s “Duty” to Make Calls to Former Clients Arouses Court’s Suspicion: E*Trade Financial Corp. v. Eaton
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By Paul J. Dubow

*A stockbroker does not violate a non-solicitation agreement if he calls clients, after departing from the firm,

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Finding Fiduciary Fault Fails to Stop Sarbanes-Oxley Whistleblower: Genberg v. Porter
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By Jeremy Root

* In a Sarbanes-Oxley whistleblower retaliation claim, an employee engages in protected activity if he actually believes that the conduct about which he complains is illegal under the Sarbanes-Oxley Act and that belief is reasonable.

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SCOTUS Decides: Dodd-Frank Whistleblower Must Complain to SEC, Not Boss: Digital Realty Trust, Inc. v. Somers
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By Ben Suter

An employee must report to the SEC prior to his or her termination in order to be protected as a “whistleblower” under the Dodd-Frank Act.

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Balking Clients Sour Deal, Spark Court Battle Between Investment Firms: Kortright Capital Partners LP v. Investcorp Investment Advisers Limited
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By Pete S. Michaels

A party with unique or special expertise may have a duty to disclose information within that expertise to other parties with whom it deals.

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