Klein v. QLIK Technologies, Inc.
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By Jeremy Root

Absent evidence of bad faith, Rule 17(a) substitution of plaintiffs should be liberally allowed when the change is merely formal and in no way alters the original complaint’s factual allegations as to the events or the participants.

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The Midterm Elections are Over: What’s in Store for Arbitration and the Financial Services Field?
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By George H. Friedman*

SAC Contributing Legal Editor and Board of Editors Member

Chairman of the Board – Arbitration Resolution Services 

Adjunct Professor of Law,

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Boilerplate Denials by Clients Fails to Get Broker Off the Hook in Raiding Case: E*TRADE Financial Corp. v. Pospisil
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By James L. Komie

In a raiding case, boilerplate unsworn statements submitted by clients of a defendant broker stating that the defendant did not “solicit” during undocumented calls,

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Latest SAC Podcast Tackles “Employment Issues in Securities Arbitration in the Wake of Epic Systems”
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The current state of securities industry employment arbitration, including what the Supreme Court’s Epic Systems decision may mean for the financial services sector, were the core topics discussed recently by an experienced panel of securities arbitration experts in the sixth SAC Podcast.

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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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