Hong v. Yoo
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By Ben Suter

*Summary judgment was proper because Plaintiff failed to demonstrate that Defendant investment firm was the seller of her securities.

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New Prime, Inc. v. Oliviera
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By Jill I. Gross 

A court, not an arbitrator, decides the threshold question of whether the exclusion of Section 1 of the Federal Arbitration Act applies to a “contract of employment” that contains an agreement to arbitrate and the exclusion applies to all workers,

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SEC v. Navellier & Associates, Inc.
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By Paul J. Dubow

*In general, disclosing attorney client communications to a third party undermines the attorney client privilege. **There is an exception to the general rule waiving the privilege when communications are disclosed to a third party where the third party is assisting counsel but it is limited and only applies when the third party’s services are nearly indispensable to the attorney.

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The Pension Trust v. J. Jill, Inc.
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By Christopher G. Lazarini

“Fraud by hindsight,” or contrasting a defendant’s past optimism with less favorable actual results, does not satisfy the pleading requirements in securities fraud case.

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We Called It (Again)! In Justice Gorsuch’s First Arbitration-Related Opinion, SCOTUS Holds Unanimously in New Prime that the FAA Exempts Independent Contractors
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In the first arbitration-centric Opinion authored by Justice Gorsuch, the Supreme Court on January 15th holds unanimously in New Prime, Inc. v.

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Paul A. Corey & Assocs., Inc. v. Great-West Life & Annuity Ins. Co.
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By Christopher G. Lazarini

The SEC’s pay-to-play rule makes it unlawful for any registered investment adviser and others identified in 17 C.F.R ,

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