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BrokeAndBroker.com Blog by Bill Singer Esq

July 20, 2023

https://www.brokeandbroker.com/7119/sdny arbitration-diamonds/
Few things prompt more lawsuits than a once-promising business deal that goes sour. In today's installment of when-things-go-wrong, we got a diamonds transaction that falls apart. Then we have a federal court trying to figure out if there's a FINRA-defined "customer" or an underlying securities transaction. And all that while the parties are arguing over whether they are required to arbitrate. Picture yourself in a boat on a river in federal court with tangerine trees and marmalade skies. 
 
https://www.brokeandbroker.com/7118/wsfs-solicitation-edpa/
As an employment dispute makes its way through federal court, we witness the early stages of motion practice and the parties' efforts to define what is (and isn't) improper solicitation of client -- and whether Defendants breach their purported fiduciary duty to their employers.
 
https://www.brokeandbroker.com/7117/finra-grandmother-arbitration/
In today's befuddling FINRA Arbitration Award, we got a grandmother who set up a Trust; and, as a result of some unexplained action by Respondents, or maybe not as a result of anything Respondents did or didn't do, or maybe as a result of something the grandmother did or didn't do, or maybe because of something involving a neighbor of the grandmother, it appears that the grandmother's Trust bequests to her grandchildren were or were not honored. We got lots of clues and hints but just can't crack FINRA's indecipherable code.
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 

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