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Estrella v. Damiani
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By Jill I. Gross

Broker-dealer and adviser waived their right to compel arbitration of deceased customer’s estate’s claims against them.

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Gavaldon v. Standard Chartered Bank International (Americas) Ltd.
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By Paul J. Dubow

*The Edge Act provides for federal jurisdiction over claims against an Edge Act entity only if the suit arises out of an offshore transaction of the Edge Act corporation.

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Gordon v. Dadante
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By Christopher G. Lazarini

*District courts have broad discretion in setting fair and reasonable compensation for their receivers. **Courts should refrain,

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Top Matrix Holdings, In Re
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By Ben Suter

The Court grants in part and denies in part the petitioner’s application for an order to take discovery for use in a foreign proceeding.

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WTW Investment Co., Ltd. v. Jefferies, LLC
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By Jack D. Ballard

Motion to dismiss for failure to state a claim granted where third amended complaint failed to allege facts showing that securities broker owed a duty of care to investors who allegedly relied on statements in a private placement memoranda prepared by the broker.

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It Took a While, but the Inactive Industry Party Arbitration Rule has Been Filed with the SEC
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By George H. Friedman, SAA Editor-in-Chief

FINRA on November 5 filed with the SEC a long-awaited rule amendment that would give investors greater rights when arbitrating with inactive industry parties.

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