By Paul J. Dubow
*A claim of unauthorized trading will be dismissed if the plaintiff fails to allege that he was injured thereby.
By Christopher G. Lazarini
A financial institution holding a self-directed IRA owes no fiduciary duty to the account owner; however,
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.
By Ben Suter
*A clause of a settlement agreement that protects a party against a third party who “successfully asserts” a claim requires more than voluntary settlement of that claim.
By Jill I. Gross
*Where third parties’ criminal conduct is a foreseeable consequence of a broker’s negligent due diligence and misrepresentations,
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