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Securities Regulation Keyed to Coffee
Rodriguez de Quilas v. Shearson/American Express, Inc.
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Pursuant a brokerage contract, several investors signed a standard arbitration clause. The investors sued several parties when the investment proved not profitable, claiming numerous causes of action, containing § 12(2) of the Securities Act violations. Shearson/American Express moved to dismiss the action, pursuant to the clause, but the district court refused to dismiss the § 12(2) cause of action, holding that the Securities Act’s § 14 ban against waiving defenses under the Act prohibitedexecution of the clause. The court of appeals reversed. The Supreme Court accepted review.
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