Securities Arbitration Overview
SAC Blog About SAC
Press Kit Contact Us
 
SAC's ONLINE LITIGATION ALERT: 2019-46 (12/02/2019)
      GLOBAL LINKS
VIEW FULL ALERT  

Login: Click here or a decision below — view full summaries, decisions and more

Not A Subscriber? Click to Get a Free Trial

     


Arbitration

• Eaton Partners, LLC vs. Azimuth Capital Mgmt. IV, Ltd. ▶
No. 18 Civ. 11112 (S.D. N.Y., 10/18/19)

Arbitrator’s refusal to permit rebuttal witness to testify does not constitute refusal to hear material evidence sufficient to warrant vacatur under the FAA.
Read More


Business & Employment

• Edward D. Jones & Co. LP vs. Peterson ▶
No. 19-1968 (D. Nev., 11/12/19)

In deciding whether to issue a TRO, a court must consider 1) a likelihood of success on the merits; 2) likelihood of irreparable injury if injunctive relief is not granted; 3) balance of hardships; and 4) advancement of the public interest.
Read More

• Neff vs. PKS Holdings, LLC ▶
No. 5:18-1826 (E.D. Pa., 8/8/19)

*Except with respect to plaintiff’s brokerage firm employer and the manager who terminated her, the court has neither general nor specific jurisdiction to hear her claims. **Dodd-Frank’s whistleblower protections only apply to misconduct reported directly to the SEC. ***Absent an alleged statutory obligation to report, termination of an at-will employee making such a report is not wrongful, against public policy or tortious interference with the employee’s rights.
Read More


Class Actions

• Doherty vs. Pivotal Software, Inc. ▶
No. 3:19-cv-03589-CRB, U.S. Dist. LEXIS 195360 (N.D. Cal., 11/8/19)

The Court consolidates three related securities class actions and appoints the lead plaintiff and class counsel.
Read More

• Choi vs. Tower Research Capital LLC & Gorton ▶
No. 14-CV-9912 (S.D. N.Y., 11/22/19)

The Apex Doctrine provides senior executives with an extra layer of protection from the “intrusion” of depositions, where it is firmly established they have no knowledge of or involvement with the facts concerning the claims or defenses in a case, even though the executive’s company is a party.
Read More


Regulatory

• Balabon vs. Ketchum ▶
No. 18-50269 (5th Cir., 11/25/19)

A failure to address on appeal the bases upon which the lower court made the disputed decision will doom the appeal.
Read More

• USA vs. Hansen ▶
No. 4:18-cr-00346-DCN, U.S. Dist. LEXIS 194972 (D. Idaho, 11/7/19)

The Court denies Defendant’s Motion to Suppress.
Read More


Securities Customers

• Fezzani vs. Dweck ▶
No.18-1354 (2nd Cir., 8/13/19)

While damages are an essential element of most claims, a plaintiff need not prove damages in order to survive summary judgment.
Read More



BOARD OF CONTRIBUTING LEGAL EDITORS

Richard P. Ryder
Editor-in-Chief, SLC

Senior Contributing Editors:          

Jack D. Ballard
Ballard & Littlefield, LLP
Houston, TX


Jill I. Gross
Elisabeth Haub School of Law
Pace University
White Plains, NY

    Paul J. Dubow
Arbitrator • Mediator
San Francisco, CA


Christopher G. Lazarini
Bass Berry & Sims PLC
Memphis, TN
    Samuel B. Edwards
Shepherd Smith Edwards & Kantas, LLP
Houston, TX


Ben Suter
Keesal Young & Logan
San Francisco, CA



Contributing Editors:

David C. Franceski, Jr.
Stradley Ronon
Stevens & Young LLP
Philadelphia, PA

Burton W. Wiand
Wiand Guerra King PL
Tampa, FL
    James L. Komie
Howard & Howard
Chicago, IL








NOTICE: The publisher accepts full responsibility for the summaries presented in this publication and for any views expressed therein. Our Contributing Editors and any law firm or organization with which the Contributing Editors may be affiliated bear no responsibility for the contents of this publication. Moreover, by summarizing a particular decision, a Contributing Editor does not necessarily endorse the holding. To the extent comments or opinions are expressed herein by any editor, such comments or opinions are not necessarily the views of other Contributing Editors or the law firm or organization with which they may be affiliated. Editorial comments and analysis are designed to stimulate thought and convey information of value; they are not intended as, nor do they constitute, legal advice. The decisions summarized herein should not be viewed as authoritative precedent without proper citechecking and adherence to local court rules.
COPYRIGHT 2019,
SECURITIES LITIGATION COMMENTATOR, INC. (PUBLISHER)
MAIL TO: P.O. BOX 112, MAPLEWOOD, NJ 07040
MAIN OFFICE: 93 RIGGS PLACE, SOUTH ORANGE, NJ 07079
T: 973-761-5880 • F: 973-761-1504 • HELP@SACARBITRATION.COM

FOR MORE INFORMATION ABOUT SAC/SLC’S OTHER PRODUCTS
AND SERVICES, PLEASE VISIT OUR WEBSITE:
HTTP://WWW.SACARBITRATION.COM.

Preferred Subscription: 48 Interactive Litigation Alerts (SLAs),
$895 annually.

Send any messages that you intend for SLC’s eyes only to:
RRyder@sacarbitration.com
Send any messages submitted for re-broadcast to:
Help@sacarbitration.com


AVAILABLE ON LEXIS: The individual case summaries comprising SLA (from the inception of publication in late 2000 through the present [and going forward]) are available as part of the LexisNexis (“LN”) research database. SLA content can easily be found and searched by using the LN “Find A Source” function (separate LN charges for access to LN and LN research apply).

      SOLA ARCHIVES  
  SOLA ARTICLES  
  CONTACT US  
  SACARBITRATION.COM  
   
      WEEKLY ANNOUNCEMENT
   

FOLLOW SAC ON TWITTER!

SAC is now on Twitter. You can follow us at @SACDispRes as we post tweets several times a day on court cases of interest, regulatory developments, and other news we think our followers want to hear about. Twice a week we tweet links to important summaries appearing in our weekly online publications, the Securities Arbitration Alert and SAC's Online Litigation Alert.

   
   
TRY ARBCHEK  
   
ARBchek is the most powerful search tool available for compiling an Aribitrator’s Award history. Save time with easy to read Award Summary Reports.
VIEW THE DEMO  
TRY ARBCHEK LITE  
   
   
VIEW UPDATE ARBCHEK
   
Free summaries of just released Awards, hot off the press 
   
   
PowerSearch SAC's Award/Court Decision Databases to Win your Case!
SAC can topic search all elements of our Databases to customize a search based on your parameters and specifications.

Click to View Sample Searches!

Call us at 973.761.5880 or email searches@sacarbitration.com for a FREE estimate.
   
   
Abritrator Comparison Report (ACR)
   
Check out the new customized report from ARBchek, the ACR (click links below to view samples):

The Report links to:
  • ARBchek Award Summaries

  • PDF of Award

To order an ACR email: searches@sacarbitration.com
or call 973.761.5880
   
   
Need a Copy of an Award?
   
FREE AWARDs!
To access a free PDF copy of any Award among the 50,000-plus Awards in SAC's Library go to www.ARBchek.com and enter the Docket Number in the Search field:



ARBchek uses the most comprehensive collection of Securities Arbitration Awards available from across ALL securities forums.
   
   
Securities Arbitration Commentator Newsletter & Alert
   
The Commentator monitors the entire field of activity affecting securities arbitration - from legislative and regulatory developments to the latest tactical techniques drawn from actual arbitration awards and case law.

Click to view a sample article!

To request a free trial or order a subscription email: help@sacarbitration.com
   
   
SEARCH BACK ISSUES SLC
   
Search all past Securities Litigation Alerts! Summaries related to thousands of broker-dealer court decisions published in the Securities Litigation Commentator since 2000. This search facility is maintained for use by the public and as a free accommodation for SLC subscribers.