The Complaint : In 2015, McGowan commenced the action, asserting two causes of action: breach of contract In the contract claim, McGowan alleged that the Term Sheet was a binding contract, and that by its actions Clarion Partners moved to dismiss both causes of action. The Court concluded that the Term Sheet and the actions of the parties, manifested their intent “to be The Court found that the parties’ actions spoke louder than words.

to three whistleblowers who came forward with information that led to a successful SEC enforcement action information during the SEC’s investigation that significantly contributed to the success of the enforcement action To date, the SEC has recovered more than $935 million from enforcement actions resulting from whistleblower if they voluntarily provide the SEC with original information that leads to a successful enforcement action

Defina’s son was injured while participating in various activities in the facility, including “Ultimate injuries, including the failure to provide adequate warnings and instructions regarding the dodgeball activity On October 23, 2015, the motion court granted the motion to compel arbitration and stayed the action. inform plaintiff that he was giving up his right to bring claims arising out of the participation in activities

for a non-compete agreement to be valid under New York law, it must be reasonable in terms of time, activities This means that the agreement cannot restrict employee activities outside of business activities and Additionally, the agreement should not restrict activities longer than one year post-employment. successful in overcoming the restrictions in a non-complete agreement in court, assuming the employee has actually

The self-regulatory watchdog found that the firm's monitoring program for detecting suspicious activity , and failed to adequately investigate activity identified by the scenarios that the firm did use. In turn, the compliance department was required to investigate the activity or transaction, document its findings and file Suspicious Activity Reports ("SARs") where appropriate. The firm used an automated surveillance system to identify red flags of suspicious activity.

, complex litigations and arbitrations and has served in various roles in both individual and class action

admitted, they would have been able to establish liability against RBC for the failure to monitor employee activities

However, there has been a slight decline in the total number of disciplinary actions taken by FINRA this It is unclear if these cases are connected to the efforts to step up enforcement activity with respect

He has served in various roles in both individual and class action lawsuits resulting in million and

The Facts: The action arose from a March 18, 2014 agreement between one of the plaintiffs, Anubisnetworks the Agreement, the dismissal of that claim necessarily had to be in error too: The first cause of action

moved to dismiss the complaint on statute of limitations grounds and for failing to state a cause of action implied covenant of good faith and fair dealing by defeating the purpose of the agreement through his/her actions As the First Department found, such conduct is a separate, actionable wrong.

The SEC states that its goal in the matter is to determine appropriate remedial action in terms of appropriate Not the First Time Balter's Actions Have Come under Scrutiny This is not the first time Balter has reasons it is invaluable to engage the services of an experienced securities attorney to make sure your actions