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Securities Regulation Keyed to Coffee
Rodriguez de Quilas v. Shearson/American Express, Inc.
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- The Brief Prologue provides necessary case brief introductory information and includes:
- Topic: Identifies the topic of law and where this case fits within your course outline.
- Parties: Identifies the cast of characters involved in the case.
- Procedural Posture & History: Shares the case history with how lower courts have ruled on the matter.
- Case Key Terms, Acts, Doctrines, etc.: A case specific Legal Term Dictionary.
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- Brief Facts: A Synopsis of the Facts of the case.
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- Facts: What are the factual circumstances that gave rise to the civil or criminal case? What is the relationship of the Parties that are involved in the case. Review the Facts of this case here:
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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