Anyone in a service industry has had that dreaded feeling. You see your email or caller identification and realize it is “that” client trying to reach you. The client I
Continue Reading Who Wants To Speak With Me, Oh No
Breach of Fiduciary Duty
The Uniform Fiduciary Duty Standard – It Seems Like Déjà vu All Over Again
Although it has been many years since Yogi Berra uttered this famous line, it seems like he must have been thinking about the debate regarding the adoption of a uniform …
Continue Reading The Uniform Fiduciary Duty Standard – It Seems Like Déjà vu All Over Again
The Faithless Servant Doctrine Exists in N.Y.
A former hedge fund portfolio manager, currently serving five years in prison for insider trading, was a “faithless servant” under New York law. See Morgan Stanley v. Skowron, 2013…
Continue Reading The Faithless Servant Doctrine Exists in N.Y.
DEALER FACES PA CLAIMS ON ARS
An investor may pursue breach of fiduciary duty and negligence claims against its brokerage firm, stemming from its role in alleged improprieties in the auction rate securities markets. See Fulton …
Continue Reading DEALER FACES PA CLAIMS ON ARS