Search for: "Independent Broker-dealers' Trade Association et al., Appellants, v. Securities & Exchange Commission et al" Results 1 - 1 of 1
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16 Sep 2010, 7:06 pm by Dorothy
MAYKEL AVILA, Appellee. 3rd District.Contracts -- Loan pledge agreement -- Securities -- Deceptive and unfair trade practices -- Torts -- Corporation and its sole shareholder filed complaint against bank and registered broker-dealer alleging defendants are civilly liable under various theories for their actions in pledging assets of accounts that plaintiffs hold with defendants' banks as security on loan made to shareholder's son without… [read post]