“Commercial Arbitration 2019” – New York State Bar Association Sponsors a Full-Day Seminar for the Neutrals
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Held at Fordham Law School’s Skadden Auditorium on Monday, March 25, this program, the full name of which was “Commercial Arbitration 2019: What Parties and Counsel Have a Right to Expect and Arbitration Should be Delivering: Arbitration at its Best,” differed in a number of ways from the programs we generally cover.

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Next Level Planning & Wealth Management, LLC v. Prudential Ins. Co. of America
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By James L. Komie

*Arbitrators do not have authority under Section 7 of the Federal Arbitration Act to issue a subpoena to a third party for the production of documents only.

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Freeman v. Fidelity Brokerage Services, LLC
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By Jack D. Ballard

Trust beneficiaries were not required to arbitrate claims against brokerage firm which they alleged knowingly participated in breaches of fiduciary duty by step-father trustee,

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Lorenzo v. SEC
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By Jill I. Gross

Primary liability for securities fraud can be imposed on one who is not a “maker” of a fraudulent misstatement under SEC Rule 10b-5(a) or (c).

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Nielen-Thomas v. Concorde Investment Services, LLC
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By James L. Komie

A class action filed in state court asserting state law claims may be a “covered class action,” as defined by SLUSA,

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SEC v. Lek Securities Corp.
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SEC vs. Lek Securities Corp., No. 1:17-cv-01789 (S.D. N.Y., 3/14/19).

Analyzing the proffered testimony of five experts and weighing the reliability and relevance factors laid out in Daubert,

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