Talking with PIABA’s Leaders: Issues in the Current Year and the Year Ahead
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At the tail-end of June SAC brought together for a wide-ranging discussion the current and future Presidents of PIABA — Christine Lazaro and Samuel B.

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AER Advisors, Inc. v. Fidelity Brokerage Services, LLC
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By Paul J. Dubow

There is no good faith requirement in the provision of the Bank Secrecy Act that gives financial institutions immunity for voluntarily disclosing a possible violation of a law or a regulation to a government agency.

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Wall v. Altium Group, LLC
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By David C. Franceski, Jr.

*Quasi-contractual liability such as unjust enrichment may not be imposed if an express contract concerning identical subject matter will not support recovery.

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Gavaldon v. StanChart Securities International, Inc.
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By Paul J. Dubow

*A complaint alleging fraud must state who made the fraudulent representations and when they were made.

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Krukever v. TD Ameritrade, Inc.
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By Burton W. Wiand

This case poses the question whether a broker may liquidate securities, pursuant to a margin call,

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Hong v. Yoo
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By Ben Suter

*Summary judgment was proper because Plaintiff failed to demonstrate that Defendant investment firm was the seller of her securities.

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