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Corporate & Securities Law
: Business Law Prof BlogQuestioning Broker-Dealer Fiduciary Duties
Full post as published by Business Law Prof Blog on May 20, 2010 (boomark / email).
Real Estate Brokers
Questions home sellers should ask potential brokers
Real Estate Brokers
The role brokersplay
Grubb & Ellis
alleging violations of fiduciary duties to shareholders and securities laws.
Mutual Fund Losses
alleging financial advisors breached fiduciary duties by not looking out for investors best interests.
Alabama Suzuki Dealer
Faces Class Action
Wachovia
to Pay $39 Million in Proposed Settlement of Stock Broker Overtime Class Action
Lehman Brothers
allegedly breached ERISA duties for employee savings plan participants.
National Association of Realtors
Settlement reached in broker listing antitrust lawsuit, pending court approval.

Broker-Dealer Settles Charges It Intervened in ARS Auctions
SEC Charges Moscow Broker Dealer with Soliciting Sales of Russian Stock
Frankel on Fiduciary Duties of Securities Professionals
Fiduciary Duties for Activist Shareholders
FINRA Issues Guidance on Broker/Dealer Obligations regarding SPACs
Velasco on Fiduciary Duties in Corporate Law







