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Court Imposes Time Limits on SEC “Obey the Law” Injunction and a Bar Against: SEC v. Gentile
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By David C. Franceski, Jr.

SEC enforcement actions seeking only “obey the law” injunctive relief and similar prospective business conduct bars that serve no retributive or remedial purpose are penal in nature and subject to the five-year statute of limitation of 28 U.S.C.

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Court Stops DOL “Anti-Arbitration” Rule Enforcement, Then Stays Challenge to It: Thrivent Financial for Lutherans v. Acosta & U.S. Department of Labor
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By Christopher G. Lazarini

*In seeking preliminary injunctive relief, the moving party does not need to demonstrate the “certainty” of harm;

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Claim Clobbered in Court Cannot Continue in Arbitration, Concludes Judge: Morgan Stanley Smith Barney, LLC v. Verble
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By Christopher G. Lazarini

The doctrine of res judicata bars a party from re-litigating issues that were or could have been asserted in an earlier action between the same parties.

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A Pro Se Plaintiff’s Plethora of Petitions: Williams v. Rosenblatt Securities, Inc.
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By Christopher G. Lazarini

*The decision to grant or deny a motion for reconsideration rests with the sound discretion of the trial court.

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Brokers Lose Benefit of Protocol for Broker Recruiting: JPMorgan Chase Bank, N.A. & J. P. Morgan Securities, LLC vs. Wirtanen
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By Christopher G. Lazarini

A failure to follow the Protocol for Broker Recruiting when it is available as a safe haven to a broker changing firms will almost assuredly lead to injunctive relief,

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