By David C. Franceski, Jr.
*In order to be “in connection with” the purchase or sale of a covered security under SLUSA,
By Burton W. Wiand
*A court must affirm the SEC’s findings of fact so long as they are “supported by substantial evidence” and may overturn a sanction only upon finding a gross abuse of discretion.
By Paul J. Dubow
*A court will not take judicial notice of a document issued by a brokerage firm after a customer’s account was closed for purposes of determining the firm’s duty to the customer.
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