Benjamin Coulter

Benjamin Coulter

Burr & Forman

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Banking & Financial Services E-Note - April 2016

In March 2016, the U.S. Court of Appeals for the Seventh Circuit ruled that a landlord may be liable to a debtor’s bankruptcy estate for the value of a lease the debtor terminated early, holding the termination may be an...more

5/4/2016 - Banking Sector C-Suite Executives Civil Investigation Demand Commercial Bankruptcy Commercial Leases Cybersecurity Data Breach Dodd-Frank Executive Compensation Wage and Hour

Second Circuit Issues Amended Order Affirming Dismissal in Transocean

On April 29, the United States Court of Appeals entered an amended order (previously decided on March 17, 2016) that affirmed the decision of the United States District Court for the Southern District of New York in DeKalb...more

5/3/2016 - Class Action Deepwater Horizon Employee Benefits False Statements Offshore Drilling Pensions Proxy Statements Sarbanes-Oxley Securities Fraud Statute of Repose Transocean

Health Care E-Note - April 2016

Patient care is not confined to a single office or exam room, or a single physician or other provider. Caring for patients these days now includes complex coordination among physicians, nurses, technicians, staff, management,...more

4/25/2016 - DOJ Elder Abuse False Claims Act (FCA) FD&C Act FDA HIPAA Mandatory Reporting Laws OCR Qui Tam

Banking & Financial Services E-Note - March 2016

Within Burr & Forman's footprint, Florida, Mississippi, and Tennessee have passed statutes exempting Health Savings Account ("HSA") contributions from a debtor's bankruptcy estate. To date, the state of Georgia has not passed...more

3/30/2016 - BSA/AML Chapter 7 Consumer Bankruptcy Contract Waiver FCCPA FinCEN Foreclosure Health Savings Accounts Individual Accountability Investment Adviser Unfair or Deceptive Trade Practices White Collar Crimes Yates Memorandum

Second Circuit Affirms District Court in Tongue v. Sanofi

On March 4, 2016, the United States Court of Appeals for the Second Circuit affirmed the District Court for the Southern District of New York in Tongue v. Sanofi, No. 15-588-CV, 2016 WL 851797 (2d Cir. Mar. 4, 2016), holding...more

3/16/2016 - Class Action Clinical Trials FDA Genzyme Misleading Statements Pharmaceutical Industry Popular Sanofi-Aventis Securities Act of 1933 Securities Litigation

Eleventh Circuit Interprets Rule 10b-5(b)

On March 1, 2016, the Eleventh Circuit Court of Appeals affirmed the Southern District of Florida in Fried v. Stiefel Labs., Inc., No. 14-14790, 2016 WL 787986 (11th Cir. Mar. 1, 2016), holding that the District Court had...more

3/8/2016 - Common Stock Disclosure Employee Stock Purchase Plans Jury Instructions Rule 10b-5 Securities Litigation Securities Violations

Supreme Court Declines to Hear NECA-IBEW Pension Trust Fund v. Lewis

On January 11, 2016, the United States Supreme Court denied the petition for writ of certiorari filed October 29, 2015, by Plaintiff/Appellant NECA-IBEW Pension Trust Fund in its case against Bank of America, its former CEO...more

1/14/2016 - Bank of America Class Action Petition for Writ of Certiorari SCOTUS Securities Litigation

FINRA Rule 2040 Goes Into Effect

On August 24, 2015, FINRA Rule 2040 concerning payments to unregistered persons went into effect. The rule, approved by the SEC in January 2015, is aligned with § 15(a) of the Securities Exchange Act of 1934. Generally, FINRA...more

8/27/2015 - Broker-Dealer Compensation Agreements Compliance Financial Institutions Financial Markets FINRA Foreign Affiliates No-Action Letters SEC Securities Exchange Act Unregistered Brokers

FINRA Proposes New TRACE Data Set

The Financial Industry Regulatory Authority (FINRA) announced last week that it is seeking comment on a proposal to create a new academic Trade Reporting and Compliance Engine (TRACE) data set. While academic researchers...more

7/23/2015 - Compliance Educational Institutions FINRA Market Participants MSRB TRACE

Alabama Supreme Court Affirms Dismissal in Walter Energy

On February 20, 2015, the Alabama Supreme Court affirmed the order of the Circuit Court of Jefferson County, Alabama dismissing claims asserted by Walter Energy, Inc. against investor Julian A. Treger, his firm Audley Capital...more

3/13/2015 - AL Supreme Court Dismissals Pump and Dump Securities Securities Fraud

SEC Approved FINRA Public Arbitrator Rule

On February 26, 2015, the Securities and Exchange Commission (“SEC”) approved a rule proposed by the Financial Industry Regulatory Authority, Inc. (“FINRA”). The rule, originally proposed by FINRA on June 17, 2014, amends...more

3/10/2015 - Arbitration FINRA New Regulations Public Arbitrators SEC

Banking & Financial Services E-Note - July 2014

In This Issue: - New Rule Will Require Banks to Provision for Bad Loans Earlier - Four Years After Dodd-Frank, Law Still Unfinished - Senate Panel to Review Borrowing of 'Too Big to Fail' Banks - Community...more

8/8/2014 - Banks CFPB Community Banks Dodd-Frank Federal Reserve Loans Marijuana Prepaid Payment Products Too Big to Fail TRIA

FINRA Sends “Public Arbitrators” Rule to SEC for Approval

On June 30, 2014, the Financial Industry Regulatory Authority (“FINRA”) sent its proposed rules to limit the definition of “public arbitrators” to those without any experience in the securities industry. Previously, an...more

7/23/2014 - Arbitration Arbitrators Compliance FINRA SEC

Banking & Financial Services E-Note

In This Issue: - 70 Countries Agree to Share Bank Information in Tax Evasion Probe - Financial Industry Pushes Back Against Proposed ERISA Requirements - Federal Reserve Proposes Tougher Stress Tests for...more

7/11/2014 - Banking Sector Banks Choke Point ERISA Federal Reserve Information Sharing Payday Loans Stress Tests Tax Evasion

Reverse Churning: Don't Fall Asleep at the Wheel

It is obvious that broker-dealers and their registered representatives, and investment advisors, must be careful in making recommendations to clients. But the recent increase in regulatory interest relating to inaction in a...more

7/11/2014 - Broker-Dealer Fiduciary Duty FINRA Investment Adviser SEC

FINRA Withdraws Bonus Disclosure Rule

On Friday, June 20, 2014, the Financial Industry Regulatory Authority (“FINRA”) withdrew its proposed Rule 2243, which would have required disclosure and reporting of FINRA member recruiting practices. Essentially, the rule...more

7/2/2014 - Bonuses Disclosure Requirements FINRA Proposed Regulation

Corporate & Tax E-Note - June 26, 2014

In This Issue: - SBA Ups Size Standards, Allowing 8,400 Firms to Become Small Biz - Auditors Want to Limit Reporting of 'Critical Audit Matters' - House Approves Permanent Extension of Small Business Tax...more

6/27/2014 - Auditors Board of Directors Cybersecurity EU Federal Contractors Government-Guaranteed Loans IPO Loans New Legislation Patent Reform Public Offerings SBA Small Business Startups Tax Incentives Tax Loopholes

SEC Begins Proceedings on FINRA Proposal Concerning Per Share Estimated Valuations for Unlisted DPP and REIT Securities

On May 20, 2014, the Securities and Exchange Commission initiated proceedings to determine whether to approve a proposal by the Financial Industry Regulatory Authority, Inc, (FINRA) to amend the NASD and FINRA rules governing...more

6/13/2014 - Compliance DPPs FINRA NASD REIT SEC

Second Circuit Reverses SDNY In SEC-Citigroup Settlement Case

On June 4, 2014, the United States Court of Appeals for the Second Circuit vacated and remanded a November 28, 2011 order from the United States District Court for the Southern District of New York refusing to approve a...more

6/6/2014 - Chevron Deference Citigroup Enforcement Enforcement Actions Interlocutory Appeals Judge Rakoff Risk Management SEC SEC v Citigroup

Banking & Financial Services E - Note - May 2014

In This Issue: - Fed Regulator Calls for End of Banks' Self-Grading of Risk - Regulator Won't Act on Loan Limits for Fannie Mae and Freddie Mac - Community Bankers Support Tiered Banking Regulatory System -...more

5/23/2014 - Banks Community Banks Cybersecurity Data Protection Fannie Mae FFIEC Financial Regulatory Reform Freddie Mac Lending Limits Rule Risk Assessment Risk Management

FINRA Sends Transition Bonus Disclosure Rule To SEC

In a move designed to increase transparency between its member firms’ registered persons (“representatives”) and their former clients when they move from one firm to another, the Financial Industry Regulatory Authority...more

5/21/2014 - Compliance Disclosure Requirements FINRA SEC Transparency

FINRA Finalizes Mandatory Background Check Rule

On April 24, 2014, the Financial Industry Regulatory Authority (FINRA) announced that its board of governors had approved rules requiring that firms to run background checks on new hires, whether new brokers or transfers, to...more

5/14/2014 - Background Checks Compliance Criminal Background Checks FINRA

Banking & Financial Services E-Note

In This Issue: - Appeals Court Says Dodd-Frank Clause Violates 1st Amendment - Basel Committee Eases Derivatives Rule for Banks - CFPB Revises International Money Transfer Rule - AG Seeks More Enforcement...more

5/1/2014 - Banks Bitcoin CFPB Cyber Attacks Cybersecurity Data Protection Derivatives Dodd-Frank Fair Housing Act (FHA) First Amendment Money Transfer Retailers

FINRA Moves Forward With Proposed Rule Requiring Disclosure Of Recruitment Bonuses

FINRA has submitted a proposal to the SEC to adopt FINRA Rule 2243 (Disclosure and Reporting Obligations Related to Recruitment Practices). In FINRA’s words, Rule 2243 would require, in some cases, “specific disclosure by...more

4/3/2014 - Bonuses Corporate Bonuses Disclosure Requirements FINRA

Banking & Financial Services E-Note - January 31, 2014

In This Issue: - DOJ Weighs Action Against Banks Over Payday Lending Business - More Regulatory Scrutiny Causing Banks to Pass on LBOs - Officials to Issue New Rules on Banks Holding Marijuana Funds - Fed...more

2/4/2014 - ATMs Banks CFPB Commodities Compliance DOJ Financial Regulatory Reform Mortgages Payday Loans Qualified Mortgage Rule

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