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Tag Archives: Contract

Court Could Not Hear FINRA Disciplinary Challenge (access required)

A district court did not err in dismissing for lack of subject matter jurisdiction plaintiff financial advisors’ challenge to an ongoing disciplinary proceeding before the Financial Industry Regulatory Authority Inc., for selling unregistered securities in violation of the Securities Act ...

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Trial Needed for Ambiguous Contract (access required)

In this dispute between two conserva­tion groups who entered into an agree­ment in 1989 for the purpose of preserv­ing the Big House Mountain and Little House Mountain properties (House Mountain Property) located in Rock­bridge County, Va., and whether the agreement ...

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Brokerage Customers Must Arbitrate Claims (access required)

Although plaintiffs contend their signatures on a brokerage account ap­plication were forged, their reliance on and receipt of benefits from their con­tract for the account estops them from repudiating the contract’s arbitration clause, which is enforceable despite vio­lation of FINRA ...

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Company’s Nonsolicitation Claim Advances (access required)

A company that offered physical and occupational therapy services to skilled nursing facilities may sue a competitor for breach of a Nondisclosure Agreement the parties signed during negotiations for de­fendant to buy plaintiff, by alleged solici­tation of plaintiff’s staff; however, ...

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