Antis v. Pravlik
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By Samuel B. Edwards

Appellate court confirms trial court’s denial of a motion to compel arbitration from a broker and his separate investment advisory business,

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Fort Washington Investment Advisors, Inc. v. Adkins
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By Christopher G. Lazarini

*A temporary restraining order preserves the status quo pending a reasoned resolution of the dispute. **The four factors considered when temporary injunctive relief is requested – likelihood of success on the merits,

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Unanimous California Supreme Court: Employee Covered by an Arbitration Agreement Can’t Use PAGA to Recover Unpaid Wages
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By George H. Friedman, SAA Editor-in-Chief

An employee’s claim for unpaid wages brought under California’s Private Attorneys General Act must proceed to arbitration,

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Centaurus Financial, Inc. v. Ausloos and FINRA
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By Christopher G. Lazarini

*For FINRA Rule 12200, a “customer” who may compel arbitration absent an agreement to arbitrate is a non-broker and non-dealer having a business relationship with a FINRA member,

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Hoak v. Newton
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By David C. Franceski, Jr.

*Pennsylvania’s Unfair Trade Practices and Consumer Protection Law (“UTPCPL”) prohibiting fraud in consumer goods and services transactions does not extend to a long-term investment relationship between broker/investment advisor and customer.

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SEC v. Feng
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By Paul J. Dubow

*Identification of an investment entity as a limited partnership and the promise of a fixed return indicates that the investment is a security.

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