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Raiding Defendant’s “Duty” to Make Calls to Former Clients Arouses Court’s Suspicion: E*Trade Financial Corp. v. Eaton
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By Paul J. Dubow

*A stockbroker does not violate a non-solicitation agreement if he calls clients, after departing from the firm,

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One-Office Acquisition Puts Broker-Dealer on the Hook for Embezzlement at Prior Firm: National Credit Union Administration vs. Wells Fargo, LLC
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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.

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Seventh Circuit OKs “Leakage” Model of Loss Causation: Glickenhaus & Co. v. Household International, Inc.
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By James L. Komie

*A trial court acts properly in allowing the jury to use the “leakage” model of loss causation,

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PSLRA Does Not Affect Pleading Loss Causation: Spitzberg vs. Houston American Energy Corp.
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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;

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