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Saturday, November 21, 2020 12:11:19 PM
violations of the following:
a) Section 10(b) of the Securities Exchange Act of 1934, as amended
(hereinafter the "Exchange Act" or the “1934 Act”), 15 U.S.C. §78j(b), and Rule 10b-5 promulgated thereunder, 17 C.F.R. §240.10b-5;
b) Massachusetts Uniform Securities Act, M.G.L. c.110A, §§ 101, et seq., as amended (hereinafter the “Uniform Securities Act”);
c) breach of contract;
d) breach of implied covenant of good faith and fair dealing;
e) unjust enrichment;
f) breach of fiduciary duty;
g) fraud and deceit;
h) negligent misrepresentation; and/or
i) the Massachusetts Consumer Protection Act, M.G.L. c. 93, §§ 2 and 11.
Jurisdiction Over Non-U.S. Broker-Dealers
https://s3.amazonaws.com/assets.production.proskauer/uploads/e449c3c05b57741311b79e351c50b4a0.pdf
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