Legal Opinion
Cariveau v. Halferty
California Court of Appeal
Decided August 18, 2000No. A087296PublishedCited by 11 opinions
1Opinion of the Court
Opinion
MARCHIANO, J.
This action concerns the validity of a confidentiality clause in a settlement agreement that prohibited the customer in a securities transaction from discussing the selling agent’s misconduct with regulatory authorities. The trial court refused to enforce the clause on grounds of public policy. We agree and affirm.
Background
Marion L. Hixon 1 joined the staff of The Equitable Life Assurance Society of the United States (Equitable) as an insurance agent in 1987 and subsequently became a registered agent under the rules of the National Association of Securities Dealers, Inc.…
2Cases cited18 opinions
- Mills v. Electric Auto-Lite Co.Supreme Court of the United States · 1970
- United States v. National Association of Securities Dealers, Inc.Supreme Court of the United States · 1975
- Green v. Ralee Engineering Co.California Supreme Court · 1998
- Fed. Sec. L. Rep. P 92,710 Stanley S. Pearlstein v. Scudder & German, a PartnershipCourt of Appeals for the Second Circuit · 1970
- Sparta Surgical Corp. v. National Ass'n of Securities Dealers, Inc.Court of Appeals for the Ninth Circuit · 1998
13 more not listed; retrieve them via the Exa API.
3Cited by11 opinions
- Monster Energy Company v. SchechterCalifornia Supreme Court · 2019
- Barella v. Exchange BankCalifornia Court of Appeal · 2000
- Fontani v. Wells Fargo Investments, LLCCalifornia Court of Appeal · 2005
- D'Arrigo Bros. v. United Farmworkers of AmericaCalifornia Court of Appeal · 2014
- Akopyan v. Wells Fargo Home Mortgage, Inc.California Court of Appeal · 2013
6 more not listed; retrieve them via the Exa API.