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Case Library

Ernest A. Long ADR publishes monthly Case Studies of important Court decisions in California. Cases are selected on a discretionary basis, bearing on the practice of law in the State Court system. www.courts.ca.gov The Studies are prepared to keep the legal community apprised of developments in the field and are archived here, in our Case Library.
Because our Studies are prepared close to the time of original publication, the cases have yet to receive their official case citations. Opinions remain accessible on the official court website for 120 days, referenced by date. The information conveyed in the Studies is an accurate recounting of the original opinion. The language, quotations and holdings expressed in the Case Studies are not legal authority and should not be presented in court filed documents without first checking the published opinion in the official reports. This page provides access to each of the court decisions, in their original form, that we have reviewed, along with our previously published Case Study. Typically, a PDF copy of the reported decision is attached to our electronically distributed Case Study, and this Case Library provides a compendium of all the opinions we have discussed.
To access a Case Study or a Supreme Court or Appellate Court opinion that was the subject of one of our Case Studies, enter your search terms in the Search box at the right of any page of this website, or go to the Download Case Studies section to scroll through the listings of topics and case names of all Case Studies from January 2008 to the present. The opinions are from the official court website, issued prior to designation of the official reporter citation which is not generated until approximately 90 days after the case is first posted on the court website.

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Thomas v. Westlake – Opinion

Thomas v Westlake Contractual Arbitration; Action Involving Third Party; FINRA Rules             Before her death, Katherine Thomas, an elderly widow, opened three investment accounts with defendants Ameriprise Financial Services, Inc. (AFSI). Defendant Westlake, AFSI’s registered representative, acted as the securities broker and investment advisor for these accounts. Upon opening the accounts, Katherine signed various Brokerage Client agreements in which she acknowledged that all controversies would be settled by binding arbitration. She also signed Client Service Agreements providing for the same remedy in the event of a dispute.           Upon Katherine’s death, her son, plaintiff John Thomas succeeded her as…

Thomas v Westlake – Case Study

Thomas v Westlake Contractual Arbitration; Action Involving Third Party; FINRA Rules             Before her death, Katherine Thomas, an elderly widow, opened three investment accounts with defendants Ameriprise Financial Services, Inc. (AFSI). Defendant Westlake, AFSI’s registered representative, acted as the securities broker and investment advisor for these accounts. Upon opening the accounts, Katherine signed various Brokerage Client agreements in which she acknowledged that all controversies would be settled by binding arbitration. She also signed Client Service Agreements providing for the same remedy in the event of a dispute.           Upon Katherine’s death, her son, plaintiff John Thomas succeeded her as…

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