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Representative Cases

Securities

  • Semprini v. Wedbush Securities Inc. (2024) 101 Cal. App. 5th 518. Justice Goethals wrote the court’s published opinion which held that an employer had waived its right to arbitrate certain claims in a wage and hour class action since it had unreasonably waited to file its motion to compel arbitration for more than nine months after the issuance of the Viking River Cruises, Inc. v. Moriana (2022) 596 U.S.  639 decision, and more than five months after select class members had signed new arbitration agreements.


  • Plaintiff securities sales person sued for wrongful termination, claiming harassment and gender discrimination. Defendant denied both and claimed termination was due to plaintiff's job performance.


  • Harding v. Lifetime Financial Inc. (2025); (Official citation pending).
    Plaintiff lost his life savings when a thief represented himself to be a financial consultant for the defendant. He was not. Defendant had received prior complaints that someone using the thief’s name, which was similar to that of one of LFI’s actual representatives, was soliciting investments. Plaintiff sued to recover his loss. The trial court granted the defendant’s motion for summary judgment finding that, because plaintiff and defendant had no prior relationship, LFI owed Harding no duty here. Justice Goethals wrote the court’s published opinion which affirmed the trial court’s ruling. The court also invited the legislature to examine the issue for purposes of passing future legislation on the subject.


Hon. Thomas Goethals (Ret.)

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