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Expect Focus - Volume I, January 2024

Funds Not Caged by SEC Names Rule Amendments: Roaming Room Remains - The SEC recently adopted amendments to its investment company “names” rule that apply to most SEC-registered funds, including underlying funds in which...more

Expect Focus - Volume II, May 2023

For broker-dealers distributing and selling variable annuities, examinations will test for compliance with Reg BI and FINRA Rule 2330 because both standards apply to variable annuity sales. Firms distributing and selling...more

California Employers May Wish to Update Their Arbitration Agreements in Light of New California Court of Appeals Decision...

The debate over the right to waive California Private Attorneys General Act (PAGA) claims continues. The most recent rule, as stated by the California Court of Appeal for the Fourth District this week, is...more

Expect Focus - Volume I, January 2023

More than 25 years have elapsed since the SEC adopted Exchange Act Rule 17a-4(f) governing electronic recordkeeping by broker-dealers. In an effort to update the rule to reflect “technology neutral” concepts, the SEC adopted...more

Legal Research: The Old Way Versus the New

The Old School - I, Mark Neubauer, concede I am a dinosaur. I am like my grandfa­ther before me, who lamented the end of the horse-and-carriage age by bemoaning, "Everything is moving too fast." Everything today keeps...more

California Supreme Court Prohibits Rounding Meal Break Time

In determining lunch hours, every minute counts, at least here in California. The practice of “rounding time” to the nearest five or ten minutes can cost employers dearly — literally in the millions. The California Supreme...more

California’s COVID-19 Exposure Notification Law May Spread to Other States

Since January 1, California businesses have been subject to ramped-up COVID-19 notification and reporting requirements under amendments to California’s Occupational Safety and Health Act, which are designed principally to...more

Court Finds No Coverage for $42 Million False Claims Act Suit Due To Late Reporting

A federal court has found no coverage for a $42 million whistleblower settlement due to the insured’s failure to timely report the claim to its carrier. PAMC, Ltd. v. National Union Fire Insurance Company of Pittsburgh, Pa.,...more

California Rejects Federal Wage And Hour ‘De Minimus’ Doctrine Causing Havoc For Employers

Creating havoc for employers in California, the California Supreme Court yesterday rejected the federal “de minimis” doctrine for wage and hour regulations. ...more

Must A Plaintiff Representing Unnamed Parties Under California’s Private Attorney General Act Comply With Rule 23’s Requirements?

Must a plaintiff who brings an action under California’s Private Attorney General Act (PAGA) comply with Rule 23’s requirements? Although the Ninth Circuit has not addressed the issue, one California federal district court...more

Calculating Overtime Pay When Paying a Flat Sum Bonus in a Single Pay Period

Failing to comply with last week’s California Supreme Court order concerning overtime pay and lump sum bonuses may expose you to costly class actions like so many other California employers....more

Minimum Wage In The Many 'States' Of California

Once upon a time, employers could determine the minimum wage they needed to pay their employees by looking to the single state in which they conducted business. No more....more

Electronic Wage Statements — The Next Trap For Employers?

An employer dodged a bullet before a California jury this week. But the fact that a class was certified and went to a jury suggests that the plaintiff’s bar is increasingly focused on the adequacy of electronic wage...more

Ninth Circuit Says Plaintiff Might Get Fooled Again

Last week the Ninth Circuit reopened a key avenue in consumer false advertising class actions – injunctive relief. A growing number of trial courts had dismissed those claims, reasoning that plaintiffs who know of the alleged...more

Ninth Circuit: Procedural Violations Can Meet Standing Test

This week the Ninth Circuit offered plaintiffs who wish to bring both individual and class actions a potentially broad path to establish Article III standing based on mere allegations of procedural statutory violations. In...more

The War Between PAGA and Arbitration in California Continues - This Time Employers Win

Employers finally won a key victory in California courts in the continuing conflict between mandatory arbitration/class waiver agreements versus representative actions brought under the California Private Attorneys General...more

California Vacation Vesting Ruling Highlights Importance of Clear Policy Language

Can your employees claim they are owed vacation pay from their first day at work? Last week, the California Court of Appeal reminded employers in California of the importance of a clear vacation policy to avoid that...more

Unanimous California Supreme Court Gives Green Light to Plaintiffs to Discover Employee Contact Information - Williams v. Superior...

In a big blow to employers, the California Supreme Court unanimously held today that plaintiffs and their lawyers must be given access to companywide employee contact information—including addresses and phone numbers—at the...more

New Criminal History Hiring Regulations for California Employers

Employers hiring in California must be aware that on July 1, new California Fair Employment and Housing Council regulations take effect, limiting use of criminal history when making employment decisions. Every nationwide...more

California Supreme Court Puts to Rest Labor Code Interpretation

Like the Good Lord, California employees are guaranteed one day of rest every workweek under a new California Supreme Court decision, which will have broad implications for employers in California, especially those in the...more

Federal Court Holds California Insurance Code Bars Duty to Defend Against False Claims Act Violations

The Central District of California held that Section 533 of the Insurance Code eliminated any potential for coverage for suit under the state False Claims Act. On January 4, the U.S. District Court for the Central...more

California Supreme Court Holds that Whether Arbitration Will Proceed on Class Basis is an Issue for Arbitrator, not Court

California’s back-and-forth on arbitrations and class actions continued again this week. In a key 4-3 decision the California Supreme Court held that the arbitrator—not the court—can decide whether an arbitration...more

Court Finds that False Claims Act Suit Alleges Uninsurable “Willful Acts”

A federal court has ruled that a whistleblower suit under California’s False Claims Act alleged a “willful act” that cannot be covered by liability insurance. In Office Depot Inc. v. AIG Specialty Insurance Company, Case...more

2015 Food Industry Decisions With Bite

Food for Thought is a review of significant court decisions affecting the food, beverage, dietary supplements and personal care products industry. Although many cases in this edition focus on class certification, others...more

Supreme Court Confirms Enforceability of Class Action Waivers

For the second time in four years, the U.S. Supreme Court has overruled a California decision that refused to enforce an arbitration agreement with a class action waiver, holding that the Federal Arbitration Act (FAA) trumps...more

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