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,
Oral argument took place October 3rd before a short-handed Supreme Court in New Prime, Inc. v. Oliveira, No. 17-340, the first of three arbitration cases the Court will hear this Term.
By David C. Franceski, Jr.
*In order to be “in connection with” the purchase or sale of a covered security under SLUSA,
By Ben Suter
*Statements are not actionable as securities fraud where they either constitute puffery, are not materially misleading when viewed in context,
By Jeremy Root
Under North Carolina law, where a contract gives a party a unilateral option to do something, such as excluding claims from a settlement,
By Jack D. Ballard
*When a brokerage account loses half of its value, the account holder is put on notice of the need to investigate the reason for the loss.
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