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Documents on alternative dispute resolution
 

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HTMLInvestors Should be Wary of "Happiness Letters"
John J. Cronan, Sigmund D. Schutz; Preti, Flaherty, Beliveau & Pachios, LLP;
Legal Alert/Article
March 26, 2015, previously published on January 9, 2015
As the Wall Street Journal's Jason Zweig recently cautioned, "If you get a 'happiness letter' from your brokerage firm . . . be worried."

 

HTMLHas the New Patent Act Created a Mechanism for Investment Firms to Dramatically Alter the Value of Their Investments?
Michael Martinez, Brian W. Nolan; Mayer Brown LLP;
Legal Alert/Article
March 26, 2015, previously published on March 25, 2015
The America Invents Act of 2011 (AIA) created procedural vehicles for new market participants, such as investment firms, to challenge patents. These procedural vehicles include inter partes review (“IPR”) and post-grant review (“PGR”). Recent use of these procedures by...

 

HTMLCrowdfunding -- Less Useful and More Risky?
John J. Cronan, Sigmund D. Schutz; Preti, Flaherty, Beliveau & Pachios, LLP;
Legal Alert/Article
March 26, 2015, previously published on January 30, 2015
It's great that Maine and about fifteen other States are making it easier for startups to raise money by authorizing crowdfunding -- an online money-raising strategy that may be a way of assisting small businesses and start-ups looking for investment capital to get their ventures off the ground.

 

HTMLMaine Securities Regulator Testifies Before U.S. Senate Committee on Aging; Touts Success of Maine Program to Combat Senior Financial Exploitation
John J. Cronan, Sigmund D. Schutz; Preti, Flaherty, Beliveau & Pachios, LLP;
Legal Alert/Article
March 26, 2015, previously published on February 26, 2015
As the North American Securities Administrators Association (NASAA) reports, on February 4, 2015 Maine Securities Administrator Judith Shaw testified before the U.S. Special Committee on Aging. Shaw emphasized the difficulty in addressing senior financial exploitation, noting that many elderly...

 

HTMLLargest One-Time Settlement in Maine History Involving Alleged Unfair Credit Rating Practices
John J. Cronan, Sigmund D. Schutz; Preti, Flaherty, Beliveau & Pachios, LLP;
Legal Alert/Article
March 26, 2015, previously published on February 6, 2015
The Maine Attorney General announced earlier this week that its $21.5 million share of the multi-state settlement with Standard & Poor's over credit rating practices is the "largest ever one-time settlement in Maine history." The settlement received substantial press attention...

 

HTMLBeware of Misleading Financial Advisor Credentials
John J. Cronan, Sigmund D. Schutz; Preti, Flaherty, Beliveau & Pachios, LLP;
Legal Alert/Article
March 26, 2015, previously published on January 12, 2015
What is an investor to make of the alphabet soup list of privately run credentialing organizations issuing credentials to financial advisors? One of the most reputable ones, the Certified Financial Planner (CFP) Board, cautions that "accredited," "chartered,"...

 

HTMLArbitration Award Stands Despite Apparent Error of Law
Stanley A. Martin; Duane Morris LLP;
Legal Alert/Article
March 25, 2015, previously published on March 12, 2015
A federal appellate court has reminded the business community that a mistake of law by an arbitration panel will not ordinarily be grounds to overturn the award. The arbitration concerned a terminated financial services consultant, who filed for arbitration almost two years after the termination....

 

HTMLLance Armstrong’s Perjured Doping Testimony Earns Him a $10 Million Sanction in Arbitration
Haley Fowler Gregory; Butler Snow LLP;
Legal Alert/Article
March 24, 2015, previously published on March 17, 2015
Recently, Lance Armstrong attracted national attention when an arbitration panel in Texas ordered him to pay $10 million in sanctions to a promotions company for lying about his use of performance-enhancing drugs to win the 2004 Tour de France. Sanctions, especially of this type and magnitude, are...

 

HTMLSummary Judgment Applications in Alberta: Court of Appeal Indicates Appeals from Denials Will Be Difficult to Establish
Melissa Tennison; Davis LLP;
Legal Alert/Article
March 24, 2015, previously published on March 19, 2015
The Alberta Court of Appeal in its recent decision, 776826 Alberta Ltd. v. Ostrowercha, 2015 ABCA 49, discussed the recent changes to the direction of the law on summary judgment applications. It confirmed that the decision of the Trial Judge as to whether or not summary judgment is a fair and...

 

HTMLBritish Columbia's Pioneering Civil Resolution Tribunal
Barbara Murray, Talya Nemetz-Sinchein; Singleton Urquhart LLP;
Legal Alert/Article
March 20, 2015, previously published on January 5, 2015
In 2015, British Columbia will introduce a Civil Resolution Tribunal (CRT), the first on-line dispute resolution and adjudicative body in Canada. The CRT is designed to transform civil and administrative dispute resolution in B.C. from the current system to, as the provincial government’s...

 


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