image_pdfimage_print
Top Matrix Holdings, In Re
on

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.

...Read More

WTW Investment Co., Ltd. v. Jefferies, LLC
on

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.

...Read More

It Took a While, but the Inactive Industry Party Arbitration Rule has Been Filed with the SEC
on

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.

...Read More

Tater v. OANDA Corporation
on

By Ben Suter

The Court dismisses the complaint on forum non conveniens grounds, determining that the proper venue was in the Province of Ontario.

...Read More

Hoak v. Newton
on

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.

...Read More

Talking with PIABA’s Leaders: Issues in the Current Year and the Year Ahead
on

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.

...Read More

Read Our Recent Blog