*A stockbroker does not violate a non-solicitation agreement if he calls clients, after departing from the firm,
By Sarah G. Anderson
A broker-dealer that purchases only part of another broker-dealer’s business may be liable as the corporate successor of the earlier firm with respect to the part it purchased.
No. 13-20519 (5th Cir., 7/15/14). PSLRA (Pleading Requirements; Safe Harbor) * FRCP (Rule 12(b)(6) “Claim for Relief”) * 1934 Act (§10(b) “Rule 10b-5”) * Culpability Standards (Scienter;