Kyle Whitehead

Kyle Whitehead

Carlton Fields Jorden Burt

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Expect Focus - Catching The Next Wave, Regulatory and Litigation Developments - Volume II, Spring 2014

In This Issue: - IN THE SPOTLIGHT ..Private Equity: The Next Wave of SEC Enforcement Actions? - LIFE INSURANCE ..How to Fight a STOLI Scheme: Court Rulings Offer Clues ..STOA Schemes Face...more

7/22/2014 - Compliance Enforcement Enforcement Actions PBGC Private Equity Property Insurance SEC Title Insurance

Small SEC Steps Toward a Uniform Fiduciary Standard?

Securities and Exchange Commission Chair Mary Jo White has directed the Commission’s staff to prepare a document that outlines all alternative approaches the SEC could take to proposing fiduciary rules applicable to...more

7/18/2014 - Mary Jo White SEC

Third Circuit Issues Opinion On Arbitrability Of Direct And Assigned, Or Derivative, Claims

The Third Circuit recently vacated a lower court’s decision granting a motion to compel arbitration of (1) direct claims by certain cardiac services health providers against CIGNA and...more

5/14/2014 - Appeals Arbitration Benefit Plan Sponsors CIGNA Derivative Complaint Employer Group Health Plans Healthcare Mandatory Arbitration Clauses Motion to Compel

Further Developments In Ongoing Reinsurance Dispute

A reinsurance dispute between Guarantee Trust and American Medical has been ongoing for some time; we posted prior updates in March 2011 and July 2013. Most recently, Guarantee Trust filed motions seeking to file a second...more

5/12/2014 - Amended Complaints Reinsurance Specific Performance

Case Closed: No More Neasham

As reported in previous Expect Focus issues, People v. Neasham involved an insurance agent’s criminal conviction for felony theft in connection with the sale of an annuity to an elderly woman whom prosecutors claimed had...more

5/6/2014 - Annuities Convictions Insurance Agents

FINRA: “Fiduciary” Standard Architect?

FINRA is encouraging broker-dealers (BDs) to act in their customers’ best interests, although the "suitability" standard applicable to BDs does not expressly require it. For example, in 2012, FINRA implemented an...more

4/30/2014 - Broker-Dealer Fiduciary Duty FINRA Suitability Requirements Suitability Rule

Preclusive Effect Of Prior Arbitration Is An Arbitrable Issue

The U.S. District Court for the District of Massachusetts recently applied the First Circuit’s analysis in Employers Insurance Co. of Wausau v. OneBeacon American Insurance Co., Case No. 13-1913 (1st Cir. Feb. 26, 2014), when...more

4/24/2014 - Arbitration Claim Preclusion

Expect Focus - Volume 1, Winter 2014

In This Issue: - IN THE SPOTLIGHT ..Sixth Circuit Revisits Controversial ERISA Decision - LIFE INSURANCE ..Summary Judgment Victory for Life Insurer in Annuity Class Action ..Favorable Secondary Life Market...more

3/31/2014

Fla. Case Provides Practicum On Arbitrability

The Middle District of Florida recently, in U.S. Surety Co. v. Edgar, provided a practicum on arbitrability jurisprudence under the Federal Arbitration Act, answering key questions about (1) whether nonsignatories to an...more

3/19/2014 - Arbitration Arbitration Agreements Contractors Federal Arbitration Act Performance Bonds Subcontractors US Army Corps of Engineers

Foreign Arbitration Award Confirmed Under International Treaty

A federal U.S. district court recently confirmed a foreign arbitration award obtained by a Belizean telecommunications company against the Government of Belize in arbitral proceedings held before a tribunal appointed by the...more

3/6/2014 - Arbitration Arbitration Agreements International Arbitration

Vermont Issues Guidance On Special Purpose Financial Insurers

The Vermont Department of Financial Regulation’s Captive Insurance Division has released a bulletin entitled “Guidance for Special Purpose Financial Insurers” to provide guidance regarding licensing standards and regulatory...more

3/4/2014 - Financial Guaranty Insurance Insurers

Arbitrator Improprieties: A Educational Laundry List

The Ninth Circuit Court of Appeals recently affirmed the U.S. District Court of Nevada’s confirmation of an arbitration award allocating attorneys’ fees and denial of a motion to vacate the award. After first holding, in a...more

2/20/2014 - Arbitration Arbitrators

No U.S. Excise Taxes On Foreign Retrocessions

Foreign retrocession insurance transactions are beyond the reach of IRS excise taxes based on the plain language of 26 U.S.C. § 4371(3), which aims to tax insurance transactions involving policies issued by foreign insurers...more

2/18/2014 - Excise Tax IRS Retrocessional Claims

The NAIC Considers Whether A New Framework Should Apply To Innovative Annuity Products

The Life Actuarial Task Force's Index-Linked Variable Annuities (A) Subgroup (the "ILVA Subgroup") began a fresh look at the regulatory framework for annuity products. On February 6, it held a call to review its January 15,...more

2/11/2014 - Annuities NAIC Variable Deferred Annuities

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