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Brokers’ Attorney Finds That He Still Has a Duty to a Former Client: USA v. DiScala
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By Noah D. Sorkin

An attorney who previously represented a broker in a prior proceeding with a substantial relationship to a pending criminal proceeding and who has information regarding the broker that is relevant to the criminal proceeding may not represent a co-defendant in the latter.

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New Employer’s Old Counsel Represents Old Employer in Raiding Dispute: Santander Securities LLC v. Gamache
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By David C. Franceski, Jr.

*Absent a substantial question regarding an attorney’s honesty, trustworthiness or fitness, a non-client should not have standing to disqualify an opponent’s counsel.

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First Actions by NAMC on DRTF Report Emerge: FINRA Takes Aim at “Phantom Retention”
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The work of the Dispute Resolution Task Force (DRTF) was completed in December 2015 with the publication of a detailed final Report and the reference of some 51 recommendations for action to FINRA’s National Arbitration &

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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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Can Reviewing an Arbitrator’s Social Media Presence Constitute an Impermissible Ex Parte Communication?
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By James L. Komie and James J. McNamara

For many securities arbitration practitioners, reviewing a proposed arbitrator’s social media presence has become an important part of the vetting process.

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