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Andrew Alexander

When is the Proper Time To Challenge Standing in Class Actions? New Jersey Says To Wait Until Class Certification.

On Monday, a New Jersey federal judge denied a motion to dismiss for lack of standing in a deceptive marketing class action in which the named plaintiffs had not purchased a number of the named products. This decision…more

Class Action, Class Certification, Standing

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Brian Allen

CFPB Criminal Referral

In what he called "a harbinger of an especially potent partnership," Preet Bharara, U.S. Attorney for the Southern District of New York, announced Tuesday the filing of criminal charges against a New York debt settlement firm…more

CFPB, Criminal Prosecution

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Darby C. Allen

Halifax Reportedly Settles Landmark Stark Case

According to minutes filed in the U.S. District Court for the Middle District of Florida, Halifax Hospital Medical Center (Halifax) and the U.S. Department of Justice (DOJ) have reached a settlement in the pending False Claims…more

DOJ, False Claims Act, Healthcare, Healthcare Professionals, Hospitals

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Tina Amin

Florida Court Allows Plaintiff Extensive Communication with Putative Class Members

A recent decision from the Southern District of Florida denied a motion seeking to limit plaintiffs’ ability to contact putative class members to solicit support and evidence in support of a class certification motion. In A.R…more

Attorney Solicitation, Class Action, Class Certification, Medicaid, Putative Class Actions

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Marc Antonetti

Northwestern Football Players and Academic Medical Centers: The Other Shoe Has Dropped

In a move that has surprised many, but not all, National Labor Relations Board (NLRB)-watchers and collegiate football fans, Chicago-area NLRB regional director Peter Sung Ohr has determined that Northwestern University…more

Athletics Grants-in-Aid, Bargaining Units, College Athletes, Colleges, Football

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M.J. Asensio

The NLRB Finishes 2012 with a Bang and Shows No Sign of Slowing Down in 2013

The National Labor Relations Board (the "NLRB") released a number of important decisions in late December 2012. The most significant of these decisions, which seemingly signal continued activism by the NLRB, address employee…more

Collective Bargaining, Dues Checkoff, NLRB, Union Dues, Unions

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Ameena Ashfaq

CMS Proposes Increased Rewards for Reporting Fraud and Abuse

The Centers for Medicare and Medicaid Services (CMS) recently published a proposed rule modifying certain provisions in their Incentive Reward Program (IRP) to sweeten the incentives for reporting sanctionable conduct. Revisions…more

CMS, False Claims Act, Fraud, HIPAA, Incentives

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Elliot Azoff

The National Labor Relations Board Continues Its Full-Frontal Attack on Employers’ Rules of Conduct

The National Labor Relations Board continues its full-frontal attack on reasonable rules of conduct promulgated by employers in two recent cases issued at the beginning of April. In Hills and Dales General Hospital, 360…more

Employee Handbooks, Employer Liability Issues, Employment Policies, NLRB, Social Media

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Matthew Baisley

Ninth Circuit Says Cellphone Calls Do Not Have To Be Confidential To Violate the California Invasion of Privacy Act

The Ninth Circuit recently issued a divided and unpublished opinion in Young v. Hilton Worldwide Inc. et al, which plaintiffs may attempt to use in class action lawsuits against call centers for violations of the California…more

Cell Phones, CIPA, Class Action, Confidentiality

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Arthur Baker

Re: New Bad Act Disqualification, Disclosures and Certification for Rule 506 Exempt Offerings under Regulation D

Today, new Rules 506(d) and (e) of Regulation D under the Securities Act and changes to Form D (Bad Act Rules) take effect to make all Rule 506 offerings subject to certain "bad act" disqualification, disclosure and…more

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Jonathan Barr

The FCPA on Steroids: Brazil Ups the Ante in Fighting Corporate Corruption

Recently, in the wake of massive protests throughout Brazil concerning corruption and other issues, Brazilian President Dilma Vana Rousseff dramatically increased anti-corruption prohibitions in Brazil by signing into law the…more

Anti-Bribery, Anti-Corruption, Bribery, Compliance, Enforcement

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Stuart J. Bassin

Sixth Circuit Denies Government Motion for Rehearing in Quality Stores Employment Tax Challenge

The Sixth Circuit has unanimously and summarily denied a Government request for en banc rehearing of a taxpayer-favorable ruling in United States v. Quality Stores, Inc., 693 F.3d 605 (6th Cir. Sept. 7, 2012)…more

FICA Taxes, IRS, Quality Stores, Refunds, Statute of Limitations

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Edward Beckwith

ACTEC Wealth Advisor App Offers Powerful Planning Tool for Wealth Management Professionals

The American College of Trust and Estate Counsel (ACTEC) is a national association of leading trust and estate attorneys. ACTEC contributes to the field of trusts and estates law through scholarship, teaching, and bar leadership…more

Estate Planning, Mobile Apps, Personal Finances

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Jennifer Benda

IRS Fighting Hard to Avoid Tea Party Class Action Claims

The IRS recently filed a motion to dismiss class action claims brought by Tea Party groups. In NorCal Tea Party Patriots, et. al. v. IRS, et. al., S.D. Ohio, Case No. 1:13-cv-00341, Tea Party groups asserted that the IRS…more

501(c)(4), Class Action, Fifth Amendment, First Amendment, IRS

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Scott Bent

ACTEC Wealth Advisor App Offers Powerful Planning Tool for Wealth Management Professionals

The American College of Trust and Estate Counsel (ACTEC) is a national association of leading trust and estate attorneys. ACTEC contributes to the field of trusts and estates law through scholarship, teaching, and bar leadership…more

Estate Planning, Mobile Apps, Personal Finances

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Ted Bernert

Ohio Budget Bill Introduced

On February 12, 2013, the text of the Governor's budget proposal for the 2014-2015 biennium, announced on February 4, 2013, was made public as House Bill 59 ("HB 59"). The new HB 59 includes a state income tax deduction for…more

Local Taxes, Pass-Through Entities, Sales & Use Tax, Severance Tax, State Budgets

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Matthew I. Bobb

EEOC Approves Strategic Enforcement Plan

On December 18, 2012, the U.S. Equal Employment Opportunity Commission (EEOC) approved its Strategic Enforcement Plan (SEP) highlighting six high-priority target areas. The SEP stresses that the EEOC’s enforcement efforts over…more

Anti-Retaliation Provisions, Discrimination, EEOC, Equal Pay, Hiring & Firing

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Fernando Bohorquez, Jr.

iBeacons Usher in New Era of Mobile Advertising in 2014, Raise Old Privacy Concerns

Editor’s Note: This blog post was originally published on February 6, 2014 courtesy of iMedia Connection’s Blog. It is repurposed with permission. Remember that scene from Minority Report? The one where John Anderton…more

Advertising, iBeacon, Mobile Ad Networks, Mobile Devices, Right to Privacy

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Martin Booher

BakerHostetler’s Shale Oil and Gas Industry 2013 Year-in-Review and 2014 Look Forward

With Congress and the White House mired in partisan gridlock and preoccupied by issues like the federal debt ceiling, the Affordable Care Act rollout, and the Edward Snowden leak investigation, states again took the lead on…more

Energy, Oil & Gas, Shale Gas

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John Boyd

Employer Shared Responsibility Final Regulations Offer Partial Temporary Enforcement Relief

Enforcement of the employer shared responsibility provisions of the Affordable Care Act (ACA) has been further delayed for employers with between 50 and 99 full-time equivalent employees and temporarily eased for employers with…more

Affordable Care Act, Delays, Enforcement, f, Internal Revenue Code

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Deborah Bracy

Health Care Reform's 90-Day Waiting Period Guidance for Group Health Plans Deserves a Closer Look

One of the many requirements bearing down on group health plans in 2014 is the 90-day waiting period rule found in section 2708 of the Public Health Service Act (PHS Act), as added by the Affordable Care Act (ACA)…more

Affordable Care Act, Eligibility, Employer Group Health Plans, Healthcare, Penalties

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Jason Brady

Florida Revised Limited Liability Company Act

On May 3, 2013, the Florida House of Representatives unanimously passed the Florida Revised Limited Liability Act (the "New Florida Act") in the form of amended House Bill 1079. The companion bill, Senate Bill 1300, was…more

Appraisal, LLC, Members, New Legislation, Waivers

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Elizabeth Braverman

Sixth Circuit Further Defines Requirements of Commonality Under Dukes; Distinguishes Seventh Circuit Case Relaxing Those Requirements

In a recent case, Miller v. Countrywide Bank (In re Countrywide Financial Corp. Mortgage Lending Practices Litigation), — F.3d —, No. 12-5250, 2013 U.S. App. LEXIS 924 (6th Cir. Jan. 15, 2013), the Sixth Circuit provided more…more

Class Action, Class Certification, Commonality, Countrywide, Delegation of Discretion

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Maureen Brennan

Vapor Intrusion Guidance Update

U.S. EPA has extended the deadline for comments on its OSWER Final Guidance for Assessing and Mitigating the Vapor Intrusion Pathway from Subsurface Sources to Indoor Air and its Guidance for Addressing Petroleum Vapor Intrusion…more

EPA, Vapor Intrusion, Vapor Intrusion Guidance

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Sean Brock Ph.D.

Novartis v. Lee: New Math for Calculating Patent Term Adjustment

Recently, in Novartis v. Lee (2013-1160, Fed. Cir., Jan. 15, 2014), the United States Court of Appeals for the Federal Circuit revised the method by which the United States Patent and Trademark Office (USPTO) calculates patent…more

Novartis, Patent Applications, Patent Term Adjustment, Patent Terms, Request for Continued Examination

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Gilbert Brosky

Massachusetts Supreme Court Enforces Class Action Arbitration Waiver

Eight days prior to the Supreme Court’s decision in American Express Co. v. Italian Colors Restaurant, 133 S.Ct. 2304 (2013) (“AMEX”) (which we blogged here), the Massachusetts Judicial Court held that the Federal Arbitration…more

American Express, American Express v Italian Colors Restaurant, Arbitration, Arbitration Agreements, Class Action

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Damon Brown

San Francisco's Family-Friendly Workplace Ordinance Allows Requests for Flexible Work Arrangements

San Francisco's new Family-Friendly Workplace Ordinance (the "Ordinance") applies to employers with 20 or more employees and to those San Francisco-based employees who have been employed for at least six months and who work at…more

Family-Friendly Workplace Ordinance, Reasonable Accommodation

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Melissa Brown

Collateral Damage: Medicaid Inspector General Says You're Fired!

The New York Court of Appeals recently ruled that the Office of the Medicaid Inspector General (OMIG) has discretion to exclude a physician from New York's medical assistance program (Medicaid) based solely on a consent order…more

Inspector General, Medicaid, Physicians, Termination

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John Burke

Federal Circuit Upholds Constitutionality Of Legislation Overturning Its GPX Decision That Countervailing Duties May Not Be Applied To Non-Market Economies

This blog has been analyzing for more than four years legal disputes over whether the U.S. Department of Commerce (“Commerce”) may apply countervailing duties (“CVDs”) to imports from non-market economies (“NMEs”), particularly…more

Countervailing Duties, Ex Post Facto Clause, Imports, U.S. Commerce Department

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Carey Busen

Judicial Conference Proposes Proportional Discovery Through Amendments to the FRCP

For the first time in over twenty years, the Judicial Conference’s Committee on Rules of Practice and Procedure have approved for publication proposals to amend the Federal Rules of Civil Procedure. If enacted, these proposals…more

Discoverable, Discovery, Federal Rules of Civil Procedure, Proposed Amendments

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Jason Cabico

Retaining the Attorney-Client Privilege in a Merger

In Great Hill Equity Partners IV, LP v. SIG Growth Equity Fund I, LLLP, Chancellor Strine of the Delaware Chancery Court recently reaffirmed that the target company in a Delaware merger is the sole holder of the attorney-client…more

Attorney-Client Privilege, Confidential Communications, Mergers

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Hilary Cairnie

Government Contracts Quarterly Update - February 2014

The Government Contracts Quarterly Update is published by BakerHostetler's government contracts practice group to inform our clients of the latest developments in federal government contracting. This update covers the following…more

Cybersecurity, DCAA, DOD, Executive Compensation, False Claims Act

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Sam Camardo

Disproportionately Favoring the Named Plaintiffs Kills Settlement, Says Sixth Circuit

The Sixth Circuit recently limited defendants’ ability to craft settlements that disproportionately favor the class representatives. Vassalle v. Midland Funding LLC, — F.3d –, 2013 WL 673517 (6th Cir. Feb. 26, 2013). Though the…more

Class Action, Class Representatives, Debt Collection, Robo-Signing, Settlement

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Natacha Carbajal

Protecting Private Wealth: Recent Bankruptcy Cases Involving Tuition Payments and Profit Sharing Plans

Two recent decisions may affect the assets of individuals available to satisfy creditors' claims in bankruptcy. In the first decision, the Bankruptcy Court for the Eastern District of New York determined that married, joint…more

Consumer Bankruptcy, IRA

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John Carney

$1.1 Billion and Counting – The New Era of OFAC Enforcement

On February 13, 2014, BNP Paribas ("BNP"), France's largest bank, announced in its fourth quarter results that it will soon be joining the growing community of banking institutions that, within the past five years, have been…more

Banking Sector, Enforcement, Foreign Banks, OFAC

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Susrut Carpenter

2013 Year-End Securities Litigation and Enforcement Highlights

We are pleased to share with you the 2013 Year-End Highlights Report from the BakerHostetler Securities Litigation and Regulatory Enforcement Practice Team, a periodic survey, in addition to our Executive Alerts, which focuses…more

Chief Compliance Officers, Complex Litigation, Compliance, Corporate Counsel, Enforcement

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Bill Cheema

Creditors Beware: Do the Proof of Claim Right or You Are Out

Recent developments in the bankruptcy arena have placed a greater burden on claimants. Creditors are now required to make additional disclosures in their proof of claim forms, and courts are under no obligation to recognize…more

Commercial Bankruptcy, Creditors, Debtors, Proof of Claims

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Raj Chohan

Individualized Causation and Reliance Defenses Render Class Representative Inadequate in the Northern District of Illinois

Class action defense practitioners routinely face uphill battles on the issue of individualized defenses for class members. However, these arguments should not be overlooked as tools to defeat class certification. Lipton v…more

Class Action, Class Certification, Class Representatives, Consumer Fraud, Predominance Requirement

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Teresa Chow

2013 Mid-Year Securities Litigation and Enforcement Highlights

Table of Contents - I. Supreme Court Case Review (October 2012 Term) II. Rule 10b-5 Cases III. Investment Adviser and Hedge Fund Cases IV. Settlements V. Commodities and Futures Litigation and…more

Amgen Inc. v Connecticut Retirement Plans, Comcast, Commodities, Enforcement Actions, Gabelli v SEC

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Donna S. Clark

Halifax Reportedly Settles Landmark Stark Case

According to minutes filed in the U.S. District Court for the Middle District of Florida, Halifax Hospital Medical Center (Halifax) and the U.S. Department of Justice (DOJ) have reached a settlement in the pending False Claims…more

DOJ, False Claims Act, Healthcare, Healthcare Professionals, Hospitals

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Sammantha Clegg

District Court rejects supervisor liability for state employee’s motor vehicle record data breach

In a recent decision, the Federal District Court of Minnesota found that state agencies were not liable in a data breach class action suit involving a rogue employee’s unauthorized viewing of personal information in drivers…more

Data Breach, DMV, Governmental Liability, Liability, Motor Vehicles

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Dennis O. Cohen

Senate Confirms CFPB Chairman — Scrutiny of Lenders' Business Practices Go Under the Microscope

Those that anticipated a dramatic Supreme Court confrontation over the legitimacy of Richard Cordray as director of the Consumer Financial Protection Bureau (CFPB), and perhaps a nullification of all of the nascent agency's…more

CFPB, Compliance, Harry Reid, Lenders, Recess Appointments

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Tracy Cole

Supreme Court "SOX" it to Employers by Extending Statute's Whistleblower Provision to Private Contractors of Public Companies

On March 4, 2014, the U.S. Supreme Court issued a decision in Lawson v. FMR LLC expanding the class of persons protected under the anti-retaliatory provisions set forth in the Sarbanes Oxley Act of 2002 ("SOX"). The Court held…more

Anti-Retaliation Provisions, Contractors, FMR LLC, Lawson v FMR, Sarbanes-Oxley

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Casie Collignon

Ninth Circuit Says Cellphone Calls Do Not Have To Be Confidential To Violate the California Invasion of Privacy Act

The Ninth Circuit recently issued a divided and unpublished opinion in Young v. Hilton Worldwide Inc. et al, which plaintiffs may attempt to use in class action lawsuits against call centers for violations of the California…more

Cell Phones, CIPA, Class Action, Confidentiality

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S. Jeanine Conley

Supreme Court "SOX" it to Employers by Extending Statute's Whistleblower Provision to Private Contractors of Public Companies

On March 4, 2014, the U.S. Supreme Court issued a decision in Lawson v. FMR LLC expanding the class of persons protected under the anti-retaliatory provisions set forth in the Sarbanes Oxley Act of 2002 ("SOX"). The Court held…more

Anti-Retaliation Provisions, Contractors, FMR LLC, Lawson v FMR, Sarbanes-Oxley

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Maria Coor

DfE Under Fire: Do Fragrances Pass the Sniff Test?

Logos are powerful in driving consumer preferences. My three-year-old loves the Starbucks logo because he knows it means cookies for him and a chai latte for mommy. The Energy Star logo often plays an important role in consumer…more

Chemicals, Department of Toxic Substances Control, EPA

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J. Garrett Cornelison

BIS Issues Final Rule Setting Deadline for Completing Voluntary Self-Disclosures

The U.S. Bureau of Industry and Security (BIS) recently issued a final rule to revise the Export Administration Regulations (EAR) governing Voluntary Self-Disclosures (VSDs) by imposing a 180-day deadline for submission of the…more

BIS, Deadlines, Export Controls, Exports, Filing Requirements

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Joyce Ackerbaum Cox

Employers Must Abide By GINA Regulations When Providing Health Screenings

Workplace health and wellness programs are becoming increasingly popular throughout the country, and this is not surprising at all, given how beneficial such programs can be for both employers and employees…more

Data Collection, Discrimination, EEOC, Genetic Discrimination, GINA

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Jonathan Cramer

SEC Recently Issued a No-Action Letter Exempting Private Company M&A Brokers From Registration With the SEC as Broker-Dealers

The staff of the Division of Trading and Markets of the Securities and Exchange Commission (the "SEC") recently issued a No-Action Letter[1] that should reduce significantly the registration burdens upon certain brokers and…more

Broker-Dealer, No-Action Letters, Registration, SEC

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Darren Crook

New Class Action Accuses UPS of Overcharging for Shipping Insurance

A new consumer class action has been filed against shipping giant UPS, alleging that the company overcharges its customers for “declared value coverage” (i.e., shipping insurance) on the packages it delivers. The case was filed…more

Class Action, Shipping, UPS

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William Culbertson

Will Camp Tax Plan Impact Charitable Giving and Tax-exempt Organizations?

In late February 2014, House Ways and Means Committee Chairman Dave Camp (R-MI) released a nearly 1,000 page discussion draft addressing tax reform. Chairman Camp’s proposal includes changes to numerous sections of the Internal…more

Charitable Donations, Exempt Organizations, Non-Profits, Tax Reform

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Tiffany Cummins

Deconstructing DOMA: The DOL Takes Its First Step Down The Path Toward Extended Rights for Same-Sex Spouses

The United States Department of Labor (DOL) just took the first of "many steps" it plans to take over the coming months to implement the United States Supreme Court's decision in United States v. Windsor, striking down Section 3…more

DOL, DOMA, Employee Benefits, Employee Rights, Marriage

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Barry Cutler

FTC Amends Its COPPA Rule to Protect Children Online After Technology Advances In Gathering Their Personal Information

Technology advances often help consumers do things quicker or easier. For regulators and law enforcers, such advances often present challenges in keeping laws and regulations up to date…more

COPPA, FTC, Parental Consent, Personally Identifiable Information, Privacy Policy

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Cassie J. Dallas

New York Court Upholds Local Hydraulic Fracturing and Oil and Gas Development Bans

Last Friday, a four judge panel of a New York appeals court upheld two local zoning laws that prohibit activities related to oil and gas exploration and development, including hydraulic fracturing. The decisions in Norse Energy…more

Energy Exploration, Fracking, Local Ordinance, Oil & Gas

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Julian Darwall

Back to Google’s Backyard: Forum and Venue Clause Enforced to Dismiss Putative Class Action

For most corporations, standard forum and venue “home court advantage” clauses are par for the course. For companies with an expansive reach like Google’s, they are essential. Google has long included these clauses in its…more

Class Action, Contract Drafting, Contract of Adhesion, Forum, Google

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Todd Dawson

Sixth Circuit Rejects EEOC’s Expert Evidence In Proposed Pattern Or Practice Class Action Litigation

After a string of recent cases in which the agency has been forced to pay employer attorneys’ fees for bringing frivolous claims, the most recent zinger came from the Sixth Circuit last week in EEOC v. Kaplan Higher Education…more

Attorney's Fees, EEOC, Employee Credit Checks, Employer Liability Issues, Hiring & Firing

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Jeffrey Decker

Florida Revised Limited Liability Company Act

On May 3, 2013, the Florida House of Representatives unanimously passed the Florida Revised Limited Liability Act (the "New Florida Act") in the form of amended House Bill 1079. The companion bill, Senate Bill 1300, was…more

Appraisal, LLC, Members, New Legislation, Waivers

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Mark Delaquil

Supreme Court Grants Certiorari in Clean Air Act Case

On October 15, the Supreme Court agreed to hear a challenge to the EPA’s implementation of greenhouse gas regulations under the Clean Air Act. As discussed in a previous blog post, multiple petitions for certiorari were filed…more

Certiorari, Clean Air Act, EPA, Greenhouse Gas Emissions, SCOTUS

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Bill Devinney

Patent Trolls, Anti-Trolls, and Antitrust Law Collide in Patent Licensing Dispute

We previously wrote that regulators are considering using antitrust laws to reign in perceived abuses by non-practicing entities or, more familiarly, “patent trolls” – entities that purchase the rights to patents not to practice…more

Anti-Patent Trolls, Antitrust Conspiracies, Antitrust Litigation, Conspiracies, Damages

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Ashley Dietrich

CRESCENT HOLDINGS: An Issue of First Impression for Partners with Capital Interests

On December 2, 2013, the United States Tax Court issued an opinion in Crescent Holdings, LLC v. Commissioner, 141 T.C. No. 15. This opinion affects individuals who receive a non-vested capital interest in a partnership. In what…more

Capital Gains, CEOs, Income Taxes, Partnerships, Tax Court

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Andrew Doggett

White House Unveils Plan to Curb Methane Emissions

Last week, the White House announced its new plan to cut methane emissions, the tenants of which could have far reaching implications for the oil and gas industry. Titled the “Strategy to Reduce Methane Emissions,” the plan…more

Climate Action Plan, Climate Change, Environmental Policies, Greenhouse Gas Emissions, Oil & Gas

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Kelley Doran

Government Contracts Quarterly Update - February 2014

The Government Contracts Quarterly Update is published by BakerHostetler's government contracts practice group to inform our clients of the latest developments in federal government contracting. This update covers the following…more

Cybersecurity, DCAA, DOD, Executive Compensation, False Claims Act

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Dustin Dow

Due for review? The Allstate Insurance Co. v. Jacobsen certiorari petition frames state-court class action due process debate for U.S. Supreme Court resolution

Almost three decades ago, the U.S. Supreme Court explained that state courts had to extend fundamental due process protections to absent class action members. Now, a new petition for certiorari review presents the Court with the…more

Allstate, Certiorari, Class Action, Due Process, SCOTUS

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Gabriel Drucker

2013 Mid-Year Securities Litigation and Enforcement Highlights

Table of Contents - I. Supreme Court Case Review (October 2012 Term) II. Rule 10b-5 Cases III. Investment Adviser and Hedge Fund Cases IV. Settlements V. Commodities and Futures Litigation and…more

Amgen Inc. v Connecticut Retirement Plans, Comcast, Commodities, Enforcement Actions, Gabelli v SEC

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Dennis Duffy

Not Settling for Less: The EEOC’s Latest Challenge to Employee Releases

The Equal Employment Opportunity Commission (“EEOC”) recently filed a “pattern or practice” lawsuit against CVS Pharmacy, Inc., alleging that CVS uses an “overbroad, misleading and unenforceable Separation Agreement” that deters…more

Attorney's Fees, Contract Drafting, Covenant Not to Sue, CVS, Discrimination

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Rodger Eckelberry

Common and Predominating Damages: Comcast Opinion Extends Wal-Mart v. Dukes' Standards for Class Certification but Leaves the Question of Daubert for Another Day

On March 27, 2013, the U.S. Supreme Court decided Comcast Corp. v. Behrend, Case No. 11-864, which provides a valuable tool for the defense in combatting class certification in antitrust cases and other types of class actions…more

Class Action, Class Certification, Comcast, Comcast v. Behrend, Damages

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Geraldine Edens

Federal Agency Approvals Beyond the Scope of the Migratory Bird Treaty Act

In the last month, two separate federal district courts have declined to extend the scope of the Migratory Bird Treaty Act, 16 U.S.C. §§ 703-712 (MBTA), to federal agency approvals of projects that plaintiffs alleged could…more

BOEM, DOE, Energy, Migratory Bird Treaty Act

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Jennifer Edwards

Ohio's Highest Court Holds Unions Are Not Required to Give Public Employers Advance Notice of Informational Picketing

On October 23, 2013, the Ohio Supreme Court ruled, in Mahoning Education Association of Developmental Disabilities v. State Employment Relations Board, that unions are not required to provide public sector employers ten-day…more

Notice Requirements, Right to Picket, Right to Strike, Unfair Labor Practices

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David Einhorn

New gTLDs Raise Data Security Concerns

ICANN is well on its way to the launch of new generic top-level domains (gTLDs) with the first ones being approved as early as April 23rd. The handful of TLDs currently in use, such as “.com”, “.org”, and “.edu”, may soon be…more

Data Protection, gTLD, ICANN, PayPal, VeriSign

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W. John English, Jr.

AAPL To Issue Revised Form 610-1989 Model Form Operating Agreement To Address Horizontal Wells

The American Association of Professional Landmen is expected to release a revised Form 610-1989 Model Form Operating Agreement within the next few days. It is our understanding that the revised Form will include language making…more

Horizontal Wells, Oil & Gas, Operating Agreements

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Paul Enockson

Colorado Supreme Court Grants Petition to Consider Use of Lone Pine Orders in Toxic Tort Case Involving Hydraulic Fracturing

On Monday, the Colorado Supreme Court granted a Petition for Writ of Certiorari in Antero Resources, et al. v. Strudley, et al. The Strudley case involves claims relating to alleged injuries from natural gas drilling operations…more

Chemicals, Discharge of Pollutants, Fracking, Toxic Exposure

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Jeffry Erney

Tax Court Deals Another Blow to Conservation Easements

On June 24, 2013, the U.S. Tax Court disallowed a couple’s deduction for the donation of a conservation easement on the façade of a building to the National Architectural Trust, a qualified charitable organization. The court…more

Charitable Donations, Conservation Easements, IRS, Tax Deductions

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Jennifer Eschedor

Is Tax Law Ever Permanent?

According to dictionary.com, permanent means “existing perpetually; everlasting, especially without significant change.” However, for federal tax law purposes, something is “permanent” only so long as Congress and the President…more

Barack Obama, Estate Tax, Generation-Skipping Transfer, Gift Tax, Transfer Taxes

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Joshua Farnsworth

Consumer Debt Collectors Join the Federally Supervised Community

For the consumer debt collection industry, the federal regulators have arrived. In February 2013, the Consumer Financial Protection Bureau (CFPB) began supervising roughly 175 large consumer debt collectors, defined as those…more

CFPB, Debt Collection, Dodd-Frank, Electronically Stored Information, Enforcement

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Dr. Elliot J. Feldman

The Trade Muddle: A Primer

Which comes first, TPP (the “Trans-Pacific Partnership”) or TPA (“Trade Promotion Authority”)? Alphabetically, and logically, TPA. Strategically, TPP. Politically, neither is likely to come at all. Nor, then, is TTIP the…more

Fast Track Process, International Trade Agreements, TPAs, Trans-Pacific Partnership

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Jenna Felz

With OpenSSL Compromised by Heartbleed, an Opportunity for Companies to Diversify Cyber Security Efforts

The recent discovery of the “Heartbleed” online bug has sent shockwaves through the internet, causing companies and individuals alike to question very basic assumptions about cyber security. The bug has allegedly existed for the…more

"Codenomicon', Cybersecurity, Data Breach, Data Protection, Heartbleed

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Fanny Ferdman

New York City Earned Sick Time Act Notice of Employee Rights Has Finally Been Published

As most New York City employers know by now, the New York City Earned Sick Time Act (“Act”) is scheduled to go into effect on April 1, 2014. While the Act was adopted in the summer of 2013, it was subsequently amended after…more

Employee Rights, Paid Leave, Sick Leave

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Gerald Ferguson

FTC Says That Sponsors of Pinterest Contests Should Require Users to Post Pins with Hashtags Warning When Pins are Posted for a Prize

In a March 20, 2014 closing letter sent to fashion company Cole Haan, the FTC warned that use of the hashtag #WanderingSole in conjunction with a recent Pinterest contest did not adequately communicate the “material connection”…more

Contests & Promotions, FTC, Pinterest, Prizes

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Kaitlyn Ferguson

Insuring Your Company Against Cyber-Attacks

Earlier this month, the Department of Justice announced the indictment of 13 individuals associated with the hacker organization Anonymous for a widespread scheme to disrupt and shut down commercial and government websites…more

Cyber Attacks, Cybersecurity, Distributed Denial of Service, DOJ, Hackers

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Christopher Fidler

Beware: Active Participation of Trustee S-Corporation Shareholder is Required – Technical Advice Memorandum 201317010

Differing points of view have arisen regarding determining the active participation of S-Corporation shareholdings held in Trust…more

IRS, S-Corporation, Shareholders, Trustees

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Eric Fish

Seventh Circuit Allows Class Certification Despite Attorney Misconduct

Do you ever wonder how plaintiffs’ class action lawyers find their class representatives? And whether there is any possibility of defeating class certification if their efforts are sleazy or downright unethical?…more

Attorney Misconduct, Class Action, Class Certification, Class Representatives, Reliable Money Order v McKnight Sales

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Danyll Foix

Antitrust Treble Damages for Patent Infringement? Yes, According to Groundbreaking Decision

The Eastern District of Texas recently held that patent infringement can constitute anticompetitive conduct for monopolization claims under Section 2 of the Sherman Act, in Retractable Technologies Inc. v. Becton Dickinson &…more

Antitrust Litigation, Patent Infringement, Patents, Treble Damages

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Jonathan Forman

2013 Year-End Securities Litigation and Enforcement Highlights

We are pleased to share with you the 2013 Year-End Highlights Report from the BakerHostetler Securities Litigation and Regulatory Enforcement Practice Team, a periodic survey, in addition to our Executive Alerts, which focuses…more

Chief Compliance Officers, Complex Litigation, Compliance, Corporate Counsel, Enforcement

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Anne Foster

There’s a Code for That: Counting Down to ICD-10 and a Poem to Help You Remember!

On October 1, 2014, all HIPAA-covered persons and entities must be compliant with the International Classification of Diseases, Tenth Revision, Clinical Modification/Procedure Coding System (ICD-10-CM and ICD-10-PCS,…more

CMS, Compliance, Deadlines, Healthcare, HIPAA

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Cory Fox

Kentucky Enacts Data Breach Notification Statute

On April 10, 2014, Kentucky Governor Steve Beshear signed H.B. 232 into law, making Kentucky the 47th state to enact data breach notification legislation. Prior to H.B. 232, Kentucky was one of only four states—including…more

Breach Notification Rule, Cloud Computing, Data Breach, Data Protection, Facebook

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Yulia Fradkin

SEC Continues Crack Down on Short Sale Rule Violations: Settles $7.3 Million Case Against Worldwide Capital

In the largest Rule 105 (Short Sale Rule) enforcement case to date, the SEC reached a $7.3 million settlement against Worldwide Capital and its principal last Wednesday, March 5. The SEC's message has been consistent since Mary…more

Disgorgement, Enforcement Actions, SEC, Short Sales, Worldwide Capital

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Alan Friel

Ill Conceived California Privacy Bill Threatens Viability Of Commercial Educational Online Services

SB 1177, the Student Online Privacy Protection Act was recently introduced in the California legislature. This is a bad bill for the private educational industry, and ultimately for parents and students. It would drastically…more

Disclosure, FERPA, Internet, Marketing, Students

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Jessie Gabriel

Not in My House: Mark Cuban Defeats the SEC's Insider Trading Charges

The high profile long-running saga between Mark Cuban -- entrepreneur, television personality, and billionaire owner of the Dallas Mavericks -- and the SEC has finally ended with Mr. Cuban emerging victorious. On October 16,…more

Insider Trading, Sales, SEC, Shareholders, Stocks

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Randal Gainer

ONC’s Security Risk Assessment Tool Is Useful but Could Be Improved

The Office of the National Coordinator for Health Information Technology (ONC) released a Security Risk Assessment Tool (SRA Tool) on March 28. According to the User Guide for the SRA Tool, the Tool is designed to help small and…more

Audits, Data Protection, HIPAA, ONC, Risk Assessment

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Christopher Gallagher

2013 Year-End Securities Litigation and Enforcement Highlights

We are pleased to share with you the 2013 Year-End Highlights Report from the BakerHostetler Securities Litigation and Regulatory Enforcement Practice Team, a periodic survey, in addition to our Executive Alerts, which focuses…more

Chief Compliance Officers, Complex Litigation, Compliance, Corporate Counsel, Enforcement

See All Updates »

Kevin Garrison

Increase to Federal Construction Minimum Wage May Mean Little

It has been widely reported that during his State of the Union address the President will announce a plan to issue an executive order requiring construction workers on federal projects be paid a minimum wage of at least $10.10…more

Construction Contracts, Construction Workers, Contractors, Federal Contractors, Minimum Wage

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Judy Gechman

Past as Prologue: Rebirth of the Merger Trial and the Bazaarvoice Case

For many years after its implementation, the Hart-Scott-Rodino Antitrust Improvements Act of 1976 seemed to sound the death knell of post-consummation merger trials. By establishing a file-and-wait system rather than the old…more

Anticompetitive Agreements, Antitrust Conspiracies, Bazaarvoice Inc, Hart-Scott-Rodino Act, Mergers

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Theodore Gelt

CRESCENT HOLDINGS: An Issue of First Impression for Partners with Capital Interests

On December 2, 2013, the United States Tax Court issued an opinion in Crescent Holdings, LLC v. Commissioner, 141 T.C. No. 15. This opinion affects individuals who receive a non-vested capital interest in a partnership. In what…more

Capital Gains, CEOs, Income Taxes, Partnerships, Tax Court

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Christopher Giaimo

Always Be Prepared: Forecasting a Business Partner's Financial Problems and How to Prepare

As the American economy continues to slog through the ongoing Great Recession, even financially sound companies face challenges due to the continued economic malaise. In particular, a company that works with suppliers, customers…more

Adequate Assurances, Business Development, Client Services, Contract Claims, Creditors

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Steven Goldberg

SEC Recently Issued a No-Action Letter Exempting Private Company M&A Brokers From Registration With the SEC as Broker-Dealers

The staff of the Division of Trading and Markets of the Securities and Exchange Commission (the "SEC") recently issued a No-Action Letter[1] that should reduce significantly the registration burdens upon certain brokers and…more

Broker-Dealer, No-Action Letters, Registration, SEC

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David Grant

Supreme Court "SOX" it to Employers by Extending Statute's Whistleblower Provision to Private Contractors of Public Companies

On March 4, 2014, the U.S. Supreme Court issued a decision in Lawson v. FMR LLC expanding the class of persons protected under the anti-retaliatory provisions set forth in the Sarbanes Oxley Act of 2002 ("SOX"). The Court held…more

Anti-Retaliation Provisions, Contractors, FMR LLC, Lawson v FMR, Sarbanes-Oxley

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Joel Griswold

President Obama Directs the DOL to Attack FLSA Exemptions

Everybody is talking about it – President Obama’s announcement at the end of last week that existing overtime regulations be “modernized” and “streamlined” – but what exactly does this mean? The answer is, only time will tell…more

DOL, Exempt-Employees, Exemptions, FLSA, Non-Exempt Employees

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Ellen Shadur Gross

Northwestern Football Players and Academic Medical Centers: The Other Shoe Has Dropped

In a move that has surprised many, but not all, National Labor Relations Board (NLRB)-watchers and collegiate football fans, Chicago-area NLRB regional director Peter Sung Ohr has determined that Northwestern University…more

Athletics Grants-in-Aid, Bargaining Units, College Athletes, Colleges, Football

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Ellen Halfon

The Waiting Game: What to Do (and Not Do) While an Exemption Application is Pending

So, you have thoughtfully and thoroughly prepared the Form 1023 Application for Recognition of Exemption Under Section 501(c)(3) (“Form 1023” or “application”) on behalf of a charity, and filed it with the IRS along with a…more

501(c)(3), Applications, Exemptions, Form 990, IRS

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Pamela Jones Harbour

With OpenSSL Compromised by Heartbleed, an Opportunity for Companies to Diversify Cyber Security Efforts

The recent discovery of the “Heartbleed” online bug has sent shockwaves through the internet, causing companies and individuals alike to question very basic assumptions about cyber security. The bug has allegedly existed for the…more

"Codenomicon', Cybersecurity, Data Breach, Data Protection, Heartbleed

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Francesca Harker

Corruption Enforcement Goes Global

As BakerHostetler recently reported in its FCPA Mid-Year Update, the phenomenon of parallel prosecutions is gaining popularity as more countries enact and enforce anti-corruption legislation…more

Anti-Corruption, Brazilian Labor Act, Canada, Compliance, Corruption

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Sean Harrigan Jr.

SEC Recently Issued a No-Action Letter Exempting Private Company M&A Brokers From Registration With the SEC as Broker-Dealers

The staff of the Division of Trading and Markets of the Securities and Exchange Commission (the "SEC") recently issued a No-Action Letter[1] that should reduce significantly the registration burdens upon certain brokers and…more

Broker-Dealer, No-Action Letters, Registration, SEC

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Susan Feigin Harris

Medicaid DSH: Little-Noticed CMS Rule Interpretation Creates Serious Financial Shortfalls for Impacted Hospitals

In what may have been a largely unnoticed rule interpretation affecting hospitals that treat a high percentage of children in the Medicaid program, CMS, in January 2010, issued a response to a Frequently Asked Question (FAQ)…more

Audits, CMS, DSH, Hospitals, Medicaid

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Jeremiah Hart

Noel Canning v. NLRB: The Decision, Its Potential Impact, and the Future of the National Labor Relations Board

On Friday, January 25, 2013, we informed you that the federal circuit court of appeals in Washington D.C. had struck down President Obama's "recess appointments" of three National Labor Relations Board (NLRB or Board) members as…more

Barack Obama, Canning v NLRB, NLRB, Political Appointments, Pro Forma Sessions

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Holli L. Hartman

Exotic Dancers Continue to Rake in Class Action Dollar Bills

In our continuing coverage of exotic dancer performances on the class action stage, another group of dancers from California recently won approval of a multi-million dollar settlement in a wage and hour class action suit…more

Wage and Hour

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Ruth E. Hartman

Class Action Waivers And Arbitration Agreements - Justices Divided On Validity Of Effective Vindication Of Rights Analysis In AMEX Oral Argument

The U.S. Supreme Court heard the much anticipated oral argument in American Express Co. v. Italian Colors Restaurant on February 27, 2013. The issue before the Court was whether an arbitration clause which prohibits class…more

American Express, American Express v Italian Colors Restaurant, Arbitration, Arbitration Agreements, Class Action

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Kevin Henson

AAPL To Issue Revised Form 610-1989 Model Form Operating Agreement To Address Horizontal Wells

The American Association of Professional Landmen is expected to release a revised Form 610-1989 Model Form Operating Agreement within the next few days. It is our understanding that the revised Form will include language making…more

Horizontal Wells, Oil & Gas, Operating Agreements

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Lori Herf

Ohio Medicaid Expansion Underway

Last fall, Ohio became the 25th state to file a state plan amendment to extend Medicaid benefits to approximately 275,000 Ohioans who previously were not eligible for the program. In doing so, Ohio also agreed to accept an…more

Healthcare, Medicaid, Medicaid Expansion

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Diamond HIcks

San Francisco's Family-Friendly Workplace Ordinance Allows Requests for Flexible Work Arrangements

San Francisco's new Family-Friendly Workplace Ordinance (the "Ordinance") applies to employers with 20 or more employees and to those San Francisco-based employees who have been employed for at least six months and who work at…more

Family-Friendly Workplace Ordinance, Reasonable Accommodation

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Margaret Hirce

2013 Year-End Securities Litigation and Enforcement Highlights

We are pleased to share with you the 2013 Year-End Highlights Report from the BakerHostetler Securities Litigation and Regulatory Enforcement Practice Team, a periodic survey, in addition to our Executive Alerts, which focuses…more

Chief Compliance Officers, Complex Litigation, Compliance, Corporate Counsel, Enforcement

See All Updates »

Marc E. Hirschfield

Pledges By Debtors To Nonprofits May Not Be Enforceable After Bankruptcy

Is a bankrupt pledgor legally bound to fulfill its promise to pledge a gift; or will a nonprofit have a successful claim against a pledgor if there is a subsequent failure to make payment because of a bankruptcy filing? A…more

Clawback Agreements, Pledges

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Craig Hoffman

What is “Expedient” Notification of a “Data Breach?”

One of the first questions companies ask us when we are hired to help them respond to a new security incident is how fast they have to notify if the investigation shows that a “breach” occurred. Except for a couple of states…more

Breach Notification Rule, Compliance, Data Breach, Data Protection, Employer Liability Issues

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Thomas Hogan

Colorado Activist Group Opposed to Hydraulic Fracturing Proposes Ballot Initiative To Give Municipalities Broad Regulatory Authority At Expense of State Power

Last week, the Colorado Community Rights Network, an activist group that opposes hydraulic fracturing, filed a proposed ballot initiative to amend the Colorado Constitution to give municipalities extraordinarily broad authority…more

Fracking, Fracking Bans, Municipalities, Oil & Gas, Utilities Sector

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Shawn Hough

U.S. Supreme Court To Review Fifth Circuit’s SLUSA Decision in Stanford Ponzi Scheme Case

The Supreme Court recently granted certiorari to examine the “in connection with” requirement of the Securities Litigation Uniform Standards Act (“SLUSA”) in Chadbourne & Parke LLP v. Troice, No. 12-79…more

Chadbourne & Parke LLP v Troice, Class Action, Ponzi Scheme, SCOTUS, SLUSA

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Matthew Hoyt

Thou Shall Accommodate: Funeral Leave as a Religious Accommodation Under Title VII

Requests for reasonable accommodations are commonplace for employers of qualified individuals with disabilities under the Americans with Disabilities Act. But a recent case reminds employers that reasonable accommodation of an…more

ADA, Bereavement Leave, Employee Rights, Funerals, Reasonable Accommodation

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Susan Whittaker Hughes

Employer Shared Responsibility Final Regulations Offer Partial Temporary Enforcement Relief

Enforcement of the employer shared responsibility provisions of the Affordable Care Act (ACA) has been further delayed for employers with between 50 and 99 full-time equivalent employees and temporarily eased for employers with…more

Affordable Care Act, Delays, Enforcement, f, Internal Revenue Code

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Nancy Inesta

Failure to Reimburse California Employees for Business Expenses, Including Mileage, Resulting in Class-Action Litigation

In California, there has been an increase in class action litigation against employers for the alleged failure to reimburse employees for business expenses, particularly mileage reimbursement…more

Class Action, Employer Liability Issues, Mileage Reimbursement, Out-of-Pocket Expenses, Reimbursements

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J. Sean Jain

AAPL To Issue Revised Form 610-1989 Model Form Operating Agreement To Address Horizontal Wells

The American Association of Professional Landmen is expected to release a revised Form 610-1989 Model Form Operating Agreement within the next few days. It is our understanding that the revised Form will include language making…more

Horizontal Wells, Oil & Gas, Operating Agreements

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Karin Jenson

What? The Rules Committee Hearings Don’t Have A Hashtag?

On a snowy Sixth Avenue this week, thousands of people packed the New York Hilton Midtown for the sensory overload that is LegalTech New York (#LTNY), the annual E-Discovery, privacy, and information governance bash…more

Marketing

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Mark Johnson

Sixth Circuit Reaffirms Certification of Defective Washing Machine Class on Remand From Supreme Court

In a closely watched decision after remand by the Supreme Court, on July 18, 2013, the Sixth Circuit Court of Appeals upheld for a second time the class certification order in In re Whirlpool Front-Loading Washer Prods. Liab…more

Design Defects, Manufacturing Defects, Remand, SCOTUS, Whirlpool

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William Kane

D.C. Circuit Court Upholds Dodd-Frank Inspired CFTC Regulations Subjecting Mutual Funds That Invest in Commodities to CFTC Regulation

In 2012, the Commodity Futures Trading Commission (CFTC), in response to Dodd-Frank, adopted new regulations to require mutual funds and other registered investment companies that exceed certain position levels in commodity…more

Administrative Procedure Act, CEA, CFTC, CPO, Dodd-Frank

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Paul Karlsgodt

No Supreme Court Review of Moldy Washer Cases

Yesterday, the Supreme Court denied certiorari in two highly anticipated appeals of decisions by the Sixth and Seventh Circuit Courts of Appeals to grant class certification over breach of warranty claims involving allegedly…more

Amgen Inc. v Connecticut Retirement Plans, Breach of Warranty, Butler v Sears, Class Certification, Comcast v. Behrend

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Brian Karp

Delta's Mobile Application's "Wings Clipped"

A powerful reminder to the business community that it must take mobile application (“App”) privacy seriously was provided by California Attorney General Kamala D. Harris in the form a complaint filed against Delta Airlines, Inc…more

Delta Airlines, Kamala Harris, Mobile Apps, Online Privacy Protection Act, Privacy Policy

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Daniel Kavouras

Ohio Imposes New Fugitive Emissions Rules on Horizontal Drillers

The Ohio Environmental Protection Agency (OEPA) has announced new requirements for horizontal drillers aimed at reducing air pollution from so-called “fugitive emissions,” which are generally caused by leaking valves or…more

Chemicals, Discharge of Pollutants, Environmental Policies, EPA, Pollution Control

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Amy Kellogg

EPA Adopts Updated Standards And Practices For Environmental Site Assessments; Forthcoming Proposed Rule Will No Longer Accept Prior Standard As Basis For CERCLA Defenses

On December 30, 2013, EPA published a Final Rule providing that a prospective purchaser or tenant of contaminated property may use ASTM International’s recently updated version of its standard for environmental site assessments…more

ASTM, CERCLA, Contaminated Properties, Environmental Assessments, EPA

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Dawn Kennedy

San Francisco's Family-Friendly Workplace Ordinance Allows Requests for Flexible Work Arrangements

San Francisco's new Family-Friendly Workplace Ordinance (the "Ordinance") applies to employers with 20 or more employees and to those San Francisco-based employees who have been employed for at least six months and who work at…more

Family-Friendly Workplace Ordinance, Reasonable Accommodation

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Brandon Kepple

Florida Revised Limited Liability Company Act

On May 3, 2013, the Florida House of Representatives unanimously passed the Florida Revised Limited Liability Act (the "New Florida Act") in the form of amended House Bill 1079. The companion bill, Senate Bill 1300, was…more

Appraisal, LLC, Members, New Legislation, Waivers

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Dena Kessler

Recent Updates on Reimbursing Creditors' Legal Fees Under a Chapter 11 Plan

Unsecured creditors in chapter 11 cases face the prospect of two financial blows: the possibility of not receiving full payment of their claims and the cost of attorney's fees for defending their interests…more

Attorney's Fees, Chapter 11, Creditors, Legal Costs, Reimbursements

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Gil Keteltas

Dear Mr. Snowden: Is it reasonable to expect my attorney-client communications are confidential?

Last month, Edward Snowden provided the press a document describing “how Australian intelligence conducted surveillance of trade talks between Indonesia and the United States and, in the process, monitored communications between…more

Attorney-Client Privilege, Edward Snowden, Electronic Communications, Ethics

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Erica Gann Kitaev

Isn’t E-Discovery Hard Enough Without the Internet of Things?

This week, after a seemingly endless year of construction, my family and I moved into our new, energy-efficient home. As I was in the kitchen unpacking, my daughter cried out, somewhat dramatically, “Mama, come here…. The…more

Corporate Counsel, FTC, Internet, Internet of Things

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George Klidonas

Protecting Private Wealth: Recent Bankruptcy Cases Involving Tuition Payments and Profit Sharing Plans

Two recent decisions may affect the assets of individuals available to satisfy creditors' claims in bankruptcy. In the first decision, the Bankruptcy Court for the Eastern District of New York determined that married, joint…more

Consumer Bankruptcy, IRA

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Theodore Kobus III

Are You Ready for the New Telephone and Text Marketing Rules?

Effective October 16, 2013, the rules governing telephone and text marketing will significantly change. Under prior Federal Communications Commission (FCC) regulations issued under the Telephone Consumer Protection Act (TCPA)…more

Advertising, Consent, FCC, Marketing, Mobile Devices

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Jonathon Korinko

The Ascertainability Requirement Claims Another Class. A Growing Trend?

A new case, Hernandez v. Chipotle Mexican Grill, Inc., No. CV 12-5543 DSF JCX, 2013 WL 6332002 (C.D. Cal. Dec. 2, 2013), highlights challenges plaintiffs face in certifying classes where membership in the class is difficult or…more

Advertising, Ascertainable Class, Chipotle Grill, Class Action, Class Certification

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Mark Kornfeld

SEC Continues Crack Down on Short Sale Rule Violations: Settles $7.3 Million Case Against Worldwide Capital

In the largest Rule 105 (Short Sale Rule) enforcement case to date, the SEC reached a $7.3 million settlement against Worldwide Capital and its principal last Wednesday, March 5. The SEC's message has been consistent since Mary…more

Disgorgement, Enforcement Actions, SEC, Short Sales, Worldwide Capital

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Ganesh Krishna

Highest Bidder Loses Spoliation Fight in Auction House Data Breach

A recent case out of the Northern District of Ohio is an unsung victory for proportionality in that the Court twice declined to sanction a plaintiff’s “failure” to forensically image computers where computer logs showing the…more

Auction, Bids, Data Breach, Evidence, Software

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Jessie Kuhn

Starbucks Coffee, Burned Again

This past Friday, Starbucks received yet another blow in its 12-year long trademark dispute against Wolfe’s Borough Coffee Inc. The Second Circuit affirmed U.S. District Judge Laura Taylor Swain’s decision and found that…more

Brand, Dilution, Injunctions, Starbucks, Trademarks

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Kelvin Lawrence

Ohio House Ways and Means Committee Receives Testimony on Substitute House Bill 375

On February 12, 2014, Ohio House Ways and Means Committee Vice-Chair Rep. Gary Scherer offered a substitute House Bill 375 to the Ways and Means Committee, including significant amendments from the prior version of House Bill…more

State Taxes, Tax Reform, Ways and Means Committee

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Todd Lebowitz

Illinois Supreme Court Upholds One of the Nation’s Strictest Worker Misclassification Laws; Employers May Face Millions of Dollars in Penalties

Worker misclassification is now a bet-the-company issue. On February 21, 2004, the Illinois Supreme Court rejected a constitutional challenge to Illinois’s Employee Classification Act (the “ECA”), a law that defines most…more

Contractors, Employee Definition, Misclassification, Subcontractors

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John Lehrer II

President Obama Signs "Fiscal Cliff" Legislation into Law

As you likely have heard, the President signed the American Taxpayer Relief Act (H.R. 8) (the "Act") on January 2, 2013. The Act, popularly known as the "fiscal cliff" legislation, permanently extends the Bush era tax cuts for…more

3.8% Medicare Tax, Alternative Minimum Tax, American Taxpayer Relief Act, Bush-Era Tax Cuts, Business Taxes

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Richard Levin

Amended Rule 506 - Lifting the Ban on General Solicitation

At its July open meeting, the Securities Exchange Commission (SEC) approved a rule proposal to amend Rule 506 of Regulation D and Rule 144A under the Securities Act of 1933 (the Securities Act)…more

Advertising, Broker-Dealer, Dodd-Frank, General Solicitation, JOBS Act

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John Lewis

Russell v. Citigroup Inc. – Language in Revised Arbitration Agreement Torpedoes its Application to Pending Class Action

A Sixth Circuit panel found the text of an updated arbitration agreement indicated it did not apply to a wage and hour class action already pending when the agreement was signed. Russell v. Citigroup, Inc., Case No. 13-5994 (6th…more

Arbitration Agreements, Citigroup, Class Action, Employer Liability Issues, Wage and Hour

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Jonathan Lewis

Sometimes Merger Fixes Are as Close as the End of Your Nose

When it comes to negotiating merger remedies with federal antitrust enforcement agencies, the Department of Justice and the Federal Trade Commission each have guides or statements that may help. But as good as their guidance may…more

Antitrust Provisions, DOJ, FTC, Mergers, Negotiations

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Patrick Lewis

Supreme Court To Decide CAFA Pleading Standard

On April 7th, the Supreme Court granted certiorari in Dart Cherokee Basin Operating Company, LLC v. Owens, a case originating from the Tenth Circuit. In that case, the Court will resolve a circuit split over the pleading…more

CAFA, Dart Cherokee Basin Operating Co. v. Owens, Federal Jurisdiction, Pleading Standards, Pleadings

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Allen Littman

Senate Finance Committee Chairman Releases Tax Reform Staff Discussion Drafts – More Expected

From November 19 through 22, 2013, Senator Max Baucus, Chairman of the Senate Finance Committee (the "Committee"), released three staff discussion drafts that propose sweeping changes to the federal rules regarding international…more

Corporate Taxes, International Tax Issues, Tax Reform

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Chad Makuch

International Grant-Making: Best Practices for U.S. Public Charities

U.S. public charities are blessed, but also challenged, by a relative lack of regulation governing their grants to foreign persons and foreign entities. U.S. public charities are blessed by this lack of regulation because…more

Charitable Organizations, Exempt Organizations, Non-Profits

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Sammi Malek

New Iran Sanctions Enacted

Satellite Export Controls Now Eligible to be Returned to Commerce Department Jurisdiction - On January 3, 2013, President Obama signed into law Public Law No. 112-239, the Iran Freedom and Counter-Proliferation Act of 2012…more

Export Controls, Foreign Banks, Human Rights, IFCPA, Iran Sanctions

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Raymond Malone

Affiliates of Health Insurance Providers May Be Subject to the Affordable Care Act $500,000 Deduction Limit on Executive Compensation Under Recently Issued Proposed Regulations

Most issuers of healthcare insurance likely have heard about the $500,000 limit on deductible compensation that became effective January 1, 2013, but might be surprised to know how much broader the scope of the deduction is…more

Affordable Care Act, Deductions, Executive Compensation, Healthcare, Insurers

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Laurence Markowitz

SEC Recently Issued a No-Action Letter Exempting Private Company M&A Brokers From Registration With the SEC as Broker-Dealers

The staff of the Division of Trading and Markets of the Securities and Exchange Commission (the "SEC") recently issued a No-Action Letter[1] that should reduce significantly the registration burdens upon certain brokers and…more

Broker-Dealer, No-Action Letters, Registration, SEC

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Christopher Marraro

EPA Adopts Updated Standards And Practices For Environmental Site Assessments; Forthcoming Proposed Rule Will No Longer Accept Prior Standard As Basis For CERCLA Defenses

On December 30, 2013, EPA published a Final Rule providing that a prospective purchaser or tenant of contaminated property may use ASTM International’s recently updated version of its standard for environmental site assessments…more

ASTM, CERCLA, Contaminated Properties, Environmental Assessments, EPA

See All Updates »

Jim Mastracchio

Beanie Babies Creator Seeks Probation for $107 Million UBS Account

The Chicago Tribune reports that Beanie Babies creator Ty Warner, who pleaded guilty last year to one of the largest tax frauds in Chicago-area history, has asked the federal court to sentence him to probation. His sentencing is…more

Foreign Bank Accounts, Tax Evasion, Tax Fraud, UBS

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Kimberly M. Maynard

Filing Objections to Applications for the Registration of New gTLDs

In June 2011, the Internet Corporation for Assigned Names and Numbers (ICANN), the organization responsible for the global coordination of the use of domain names, IP addresses and the like, announced that it would accept…more

Community Objection, Dispute Resolution Services, gTLD, ICANN, Legal Rights Objection

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Anat Maytal

Too “Obnoxious” to Enforce: New York Court Refuses to Apply Florida Law in Considering Restrictive Covenants

Florida MapRecently, a New York appellate court concluded that an employer could not rely upon a Florida choice-of-law provision in an employment agreement to enforce restrictive covenants against a former employee, even though…more

Choice-of-Law, Parent Corporation, Restrictive Covenants

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B. Scott McBride

CMS Announces Changes to RAC Program; Temporary Pause in Document Requests

The Centers for Medicare & Medicaid Services (CMS) recently published an announcement indicating that the agency is “in the procurement process for the next round of Recovery Audit Program Contracts” and is winding down its…more

CMS, Document Requests, Healthcare, Healthcare Reform, RACs

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Daniel McClain

The Limits of Discretion: Trust Distributions for Health, Education, Maintenance and Support

Trustees are often granted the power to distribute trust property “in the Trustee’s discretion” for a beneficiary’s “general well-being,” “best interests,” “comfort,” or, most commonly, “health, education, maintenance and…more

Beneficiaries, Discretionary Trust, Healthcare, Trust Assets, Trustees

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Rand McClellan

Sixth Circuit Reaffirms Certification of Defective Washing Machine Class on Remand From Supreme Court

In a closely watched decision after remand by the Supreme Court, on July 18, 2013, the Sixth Circuit Court of Appeals upheld for a second time the class certification order in In re Whirlpool Front-Loading Washer Prods. Liab…more

Design Defects, Manufacturing Defects, Remand, SCOTUS, Whirlpool

See All Updates »

Heather McDonald

Legislative Watch: Trade Facilitation and Trade Enforcement Reauthorization Act of 2013

A proposed U.S. Senate Bill has the potential to change the way in which intellectual property infringement is reported and enforced. U.S. Senate Bill 662 ("S. 662"), the Trade Facilitation and Trade Enforcement Reauthorization…more

Chamber of Commerce, Enforcement, Trade Policy

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John McGowan

Too Soon for Party Hats: Employers Face Array Of "Underground" Challenges Following The Employer Mandate Delay

Like many, I was initially relieved when I read the July 2, 2013, announcement by the U.S. Treasury Department, effectively providing "large" employers with up to an additional year (to 2015) to comply with the ACA's Employer…more

Affordable Care Act, Deadlines, Delays, Employee Benefits, Employer Mandates

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M. Scott McIntyre

Employees Must Prove Retaliation Was “But-For” Cause of Employment Action

Employers are well aware that poorly performing employees may lodge baseless retaliation claims as a smokescreen to interfere with legitimate discipline…more

But For Causation, Discrimination, EEOC, Harassment, Racial Discrimination

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David McMillan

Publish or Perish: Sony Releases Compilation of 50-Year-Old Bob Dylan Bootlegs to Comply with EU Directive

Exploiting a recent European Union Directive extending the term of copyright for sound recordings, Sony released an 86-track collection of Bob Dylan recordings, including studio outtakes and live recordings from 1962-63…more

Bob Dylan, Copyright, EU, Music, Sony

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Naomi Meisels

Is Your Hedge Fund a Trader or Investor?

Hedge fund managers should be aware of two recent U.S. Tax Court memorandum decisions that shed further light on when a taxpayer, such as a hedge fund, is considered to be a "trader" or "investor" for tax purposes -- a…more

Hedge Funds, Investors, IRS, Tax Deductions

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Greg Mersol

Eleventh Circuit Refuses to Enforce Post-Suit Arbitration Agreements Based upon Employer Misconduct

The British have a phrase “too clever by half” to describe complex schemes that ultimately won’t work. We all know from cases such as Concepcion, Stolt-Nielsen, Italian Colors, and their progeny that arbitration…more

Arbitration, Arbitration Agreements, Employer Liability Issues

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Michael Dominic Meuti

Cullen v. State Farm - The Ohio Supreme Court Returns to Rule 23 Issues

On November 5, 2013, the Supreme Court of Ohio adopted the class certification principles announced in the U.S. Supreme Court's decisions in Wal-Mart Stores, Inc. v. Dukes and Comcast v. Behrend. In Cullen v. State Farm Mutual…more

Class Action, Class Certification, Comcast, Comcast v. Behrend, Dukes v Wal-Mart

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Jennifer Mills

Now for Everything Else: What Employers Still Need To Worry About Between Now And 2015

For the past several months (and, in many cases, years), most large employers have been preparing for the consequences of offering (or not offering) their workforce health coverage and complying with the complexities introduced…more

Affordable Care Act, Deadlines, Delays, Employee Benefits, Employer Mandates

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Marco Molina

2013 Year-End Securities Litigation and Enforcement Highlights

We are pleased to share with you the 2013 Year-End Highlights Report from the BakerHostetler Securities Litigation and Regulatory Enforcement Practice Team, a periodic survey, in addition to our Executive Alerts, which focuses…more

Chief Compliance Officers, Complex Litigation, Compliance, Corporate Counsel, Enforcement

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Matthew J. Moody

District Court rejects supervisor liability for state employee’s motor vehicle record data breach

In a recent decision, the Federal District Court of Minnesota found that state agencies were not liable in a data breach class action suit involving a rogue employee’s unauthorized viewing of personal information in drivers…more

Data Breach, DMV, Governmental Liability, Liability, Motor Vehicles

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Marilyn Moran

Court to Applebee's Servers, Bartenders and Hosts: Washing Dishes and Taking Out the Trash May Be All in a Day's Work

On May 13, 2013, in a decision favorable to the restaurant industry and companies that employ tipped workers, a district court in Indiana carved out a tip credit claim from a proposed wage and hour collective action brought on…more

Applebee's, Collective Actions, DOL, FLSA, Minimum Wage

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John Moscow

Silence Isn't Always Golden in Government Investigations: Bracing for The Impact of the Supreme Court's Decision in Salinas v Texas

On June 17, 2013, the Supreme Court of the United States issued an opinion with important implications for anybody who wishes to remain silent when interviewed in connection with a criminal investigation whether they know it…more

Congressional Investigations & Hearings, Criminalization, Fifth Amendment, Investigations, Law Enforcement

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Christina Moser

Patent Troll Receives Push Back

Over the past eight months, thousands of businesses across the United States received the same five-page letter from "The Licensing Team" of any one of 40 shell companies affiliated with MPHJ Technology Investments, LLC..…more

Consumer Protection Act, Infringement, Licenses, Patent Trolls, Patents

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A. Mackenna Mosier

Supreme Court "SOX" it to Employers by Extending Statute's Whistleblower Provision to Private Contractors of Public Companies

On March 4, 2014, the U.S. Supreme Court issued a decision in Lawson v. FMR LLC expanding the class of persons protected under the anti-retaliatory provisions set forth in the Sarbanes Oxley Act of 2002 ("SOX"). The Court held…more

Anti-Retaliation Provisions, Contractors, FMR LLC, Lawson v FMR, Sarbanes-Oxley

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Patrick Muldowney

Anti-Discrimination Laws Going “Intern”-ational? New York City Extends Its Human Rights Law to Unpaid Interns

As we reported last October, a federal court in New York found that an unpaid intern could not bring a hostile work environment sexual harassment claim pursuant to the New York City Human Rights Law (“NYCHRL”). (Wang v. Phoenix…more

Anti-Discrimination Policies, Anti-Harassment Policies, Disability Discrimination, Gender Discrimination, Hostile Environment

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John Mulhollan

Ohio Adopts New Patient Notification Law for Terminating Physician Employment

Until recently, physicians were required by rules of the State Medical Board of Ohio to notify their patients upon termination of services or retirement from practice. As of March 22, 2013, Ohio law requires healthcare entities…more

Hiring & Firing, Notice Requirements, Patient Notice, Termination

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Sanja Muranovic

More Companies Offering Water Recycling Services

As previously reported, oil and gas companies are seeking innovative and economical solutions to decrease their reliance on fresh water in hydraulic fracturing operations. Although obstacles remain, water recycling may prove to…more

Fracking, Oil & Gas, Recycling, Wastewater

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Erin Murdock-Park

The Joint DOJ and PTO Perspective on Standards-Essential Patents as Compared to that of the FTC

On January 8, the U.S. Department of Justice, Antitrust Division (“DOJ”) and the U.S. Patent & Trademark Office (“PTO”) (collectively, “the Agencies”) issued a joint policy statement regarding remedies for Standards-Essential…more

DOJ, FRAND, Google, Injunctions, License Agreements

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Emily Myers

DOE Approves Liquefied Natural Gas Exports to Non-Free Trade Agreement Countries from Oregon Project

On March 24, 2014, the Department of Energy granted a conditional order authorizing the export of domestically produced liquefied natural gas (LNG) from the Jordan Cove Energy Project, L.P. in Coos Bay, Oregon, to countries that…more

DOE, Exports, Free Trade Agreement, Natural Gas, Pipelines

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Jay Nanavati

U.S. Signs FATCA IGA with Luxembourg

On March 28, 2014, the U.S. signed a FATCA IGA with Luxembourg. Under the IGA, banks and other financial institutions in Luxembourg will report information about eligible U.S. customers’ offshore accounts to the Luxembourg tax…more

EU, FATCA

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Jonathan New

License to Hack? DOJ Seeks Expanded Authority to Use Hacking Techniques

As part of its increased focus on combating cybercrime, the U.S. Department of Justice is pushing to loosen requirements for obtaining search warrants in order to allow them greater freedom to hack into the computers of criminal…more

Cyber Attacks, Cybersecurity, DOJ, Hackers

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Pamela Nieto

Foreign National Physician Sues Former Employer Provider Alleging Forced Labor Violations

A lawsuit brought by a foreign national doctor earning a six-figure income against the physician owner of his former employer alleging violations of a federal forced labor statute is being allowed to go forward, with the recent…more

Foreign Nationals, Human Trafficking, Physicians, Policy Violations, TVPRA

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Christina Novotny

Senate Finance Committee Chairman Proposes Repeal of Like-Kind Exchange Deferral and Other Changes Affecting Real Estate

On November 21, 2013, Senate Finance Committee Chairman Max Baucus released the third package in a series of "Staff Discussion Drafts" containing proposals to reform the tax code. This third set of proposals focuses on reforms…more

Depreciation, Property Tax, Real Estate Market, Realty Transfer Taxes, Tax Deductions

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Jonathan Nowakowski

2013 Mid-Year Securities Litigation and Enforcement Highlights

Table of Contents - I. Supreme Court Case Review (October 2012 Term) II. Rule 10b-5 Cases III. Investment Adviser and Hedge Fund Cases IV. Settlements V. Commodities and Futures Litigation and…more

Amgen Inc. v Connecticut Retirement Plans, Comcast, Commodities, Enforcement Actions, Gabelli v SEC

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Michael Nydegger

Highlights of Recently Released FATCA Regulations

On January 17, the Internal Revenue Service issued long-awaited final regulations (the Final Regulations) for implementing the Foreign Account Tax Compliance Act (FATCA) (the Final Regulations are contained in T.D. 9610). For…more

Due Diligence, FATCA, FFI, Foreign Banks, Foreign Financial Accounts

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Aaron O'Brien

SEC Releases Proposed Rules on Regulation A-Plus

In yet another effort to display Congress' commitment to the "democratization of access to capital," the Securities and Exchange Commission (the "SEC") has proposed rule amendments to Regulation A under the Securities Act of…more

JOBS Act, Regulation A, SEC, Securities Act of 1933, Title IV

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Frank Oliva

U.S. Supreme Court To Review Fifth Circuit’s SLUSA Decision in Stanford Ponzi Scheme Case

The Supreme Court recently granted certiorari to examine the “in connection with” requirement of the Securities Litigation Uniform Standards Act (“SLUSA”) in Chadbourne & Parke LLP v. Troice, No. 12-79…more

Chadbourne & Parke LLP v Troice, Class Action, Ponzi Scheme, SCOTUS, SLUSA

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Jason Oliver

Federal Trade Commission v. Actavis, Inc. et al. – Supreme Court Holds Reverse Payment Settlement Agreements to be Analyzed under “Rule of Reason” Approach

On June 17, 2013, the Supreme Court of the United States ruled 5-3 in favor of the Federal Trade Commission and issued its long-awaited decision in Federal Trade Commission v. Actavis, Inc. et al. 570 U.S. __ (2013), Slip Op…more

Actavis Inc., ANDA, FTC, FTC v Actavis, Generic Drugs

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Stephen Olson

ISS Releases Details on Governance QuickScore 2.0

Late last month, Institutional Shareholder Services Inc. (ISS) reported its updates and enhancements to Governance QuickScore, its governance risk assessment tool, which will be used to score public companies during the 2014…more

Corporate Governance, ISS, QuickScore

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Stephanie Osterman

Seventh Circuit Holds Attorney is Bound to $3.54m Class Settlement Fee Agreement He Did Not Sign

On February 14, 2014, the Seventh Circuit ruled that a plaintiff’s attorney was bound by the terms of a class action settlement involving alleged malfeasance in the laying of fiber-optic cables by telecommunications companies on…more

Class Action, Settlement, Signatures, Telecommunications

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Ferve Ozturk

Make-Whole Premiums Get to "Pass Go" in Bankruptcy Court

A make-whole premium is a lump-sum payment that becomes due under a financing agreement when repayment occurs before the stated maturity date, thereby depriving the lender of all future interest payments bargained for under the…more

Banks, Commercial Bankruptcy, Loans, Lump Sum Offers, Make-Whole Premium

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Eric Packel

Is the 5th Time the Charm? – Nationalizing Data Breach Notification

Once the smoke and dust clears from the latest enormous data breach, the fried servers are hauled away and the ritual IT department purge takes place, the focus seems to turn to the lack of any comprehensive national data breach…more

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Jeffrey Paravano

President Obama Signs "Fiscal Cliff" Legislation into Law

As you likely have heard, the President signed the American Taxpayer Relief Act (H.R. 8) (the "Act") on January 2, 2013. The Act, popularly known as the "fiscal cliff" legislation, permanently extends the Bush era tax cuts for…more

3.8% Medicare Tax, Alternative Minimum Tax, American Taxpayer Relief Act, Bush-Era Tax Cuts, Business Taxes

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Alan Pate

FTC Says That Sponsors of Pinterest Contests Should Require Users to Post Pins with Hashtags Warning When Pins are Posted for a Prize

In a March 20, 2014 closing letter sent to fashion company Cole Haan, the FTC warned that use of the hashtag #WanderingSole in conjunction with a recent Pinterest contest did not adequately communicate the “material connection”…more

Contests & Promotions, FTC, Pinterest, Prizes

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Kinal Patel

CMS’s Civil Defense Won’t Let You Hide Under Your Desk

The Centers for Medicare and Medicaid Services (CMS) have proposed new emergency preparedness requirements for healthcare providers and suppliers. These new requirements are designed to address the effect of a broad range of…more

CMS, Disaster Preparedness, Healthcare, Natural Disasters

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Benjamin Pergament

Mobile Apps and Websites Face New COPPA Requirements Starting July 1

In one month, on July 1, 2013, the Federal Trade Commission’s most recent amendments to its Children’s Online Privacy Protection Act Rule (“COPPA Rule”) will go into effect. These changes include a variety of requirements…more

Actual or Constructive Knowledge, Amended Legislation, Consent, COPPA, FTC

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Julian Perlman

Court Certifies TILA Class Action Lead by Familiar Plaintiff/Counsel Team

A New York Federal court has certified a class action against Ann Taylor LOFT for violations of the Truth in Lending Act (see Opinion & Order in Kelen v. World Financial Network National Bank, Case No. 12-CIV-5024). …more

Banks, Class Action, Rule 23, TILA

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Georgeann Peters

Stand and Be Counted: Determining Full-Time Employees Who Must Be Offered Affordable Health Benefit Coverage Under The Employer Mandate

The article "Start Counting," published in the June 3, 2013, edition of the Benefits Broadcast discussed how employers must "count" themselves into compliance with the ACA, and how the number of employees affects whether an…more

Affordable Care Act, Employer Mandates, Full-Time Employees, Health Insurance Exchanges, Healthcare

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Ben Pfefferle III

EPA Finalizes a Rule Excluding Reusable and Disposable Wipes from Hazardous Waste Regulation

Businesses spend millions of dollars each year disposing of solvent-contaminated rags, towels and other wipes. Much of the high cost stems from the fact that, under existing regulations, wipes contaminated with hazardous…more

EPA, Hazardous Substances, Labeling, Recordkeeping Requirements, Waste Disposal

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Michelle St. Pierre

U.S.Tax Court Decision May Allieviate The 3.8% Net Investment Income Tax Burden For Many Trusts

Because trusts are subject to the 3.8% Net Investment Income Tax at a very low income level, $12,150 for 2014, trustees of trusts owning interests in operating entities have been considering ways to meet the material…more

Income Taxes, IRS, Net Investment Income, Trusts

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Geraldine Ponto

Make-Whole Premiums Get to "Pass Go" in Bankruptcy Court

A make-whole premium is a lump-sum payment that becomes due under a financing agreement when repayment occurs before the stated maturity date, thereby depriving the lender of all future interest payments bargained for under the…more

Banks, Commercial Bankruptcy, Loans, Lump Sum Offers, Make-Whole Premium

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Patricia Poole

OSHA Proposes Changes to its Recordkeeping Rules that Would Make Injury and Illness Data Available to the Public

The Occupational Safety and Health Administration (OSHA) issued proposed rules that would require certain employers to electronically submit injury and illness information to OSHA on a periodic basis. Encouraged by President…more

Bureau of Labor Statistics, Compliance, OSHA, Recordkeeping Requirements, Workplace Injury

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Kathleen M. Portman

On Second Thought — The Ohio Supreme Court Reverses Course and Holds that a Merger Does Not Trigger the Beginning of a Noncompetition Period

In October, the Ohio Supreme Court reconsidered and reversed, in part, its May 24, 2012, decision in Acordia of Ohio, L.L.C. v. Fishel, 2012-Ohio-2297 (Acordia I), which sharply restricted the ability of employers to enforce…more

Non-Compete Agreements

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David A. Posner

A WARNing to Private Equity Regarding Potential Liability for Employment Decisions by Portfolio Companies

A federal district court in Indiana recently ruled that a plaintiff's class action lawsuit could proceed against both a New York private equity firm and one of its portfolio companies for an alleged violation of the Worker…more

Compliance, Employer Liability Issues, Investment Portfolios, Private Equity, WARN Act

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Marc Powers

SEC Continues Crack Down on Short Sale Rule Violations: Settles $7.3 Million Case Against Worldwide Capital

In the largest Rule 105 (Short Sale Rule) enforcement case to date, the SEC reached a $7.3 million settlement against Worldwide Capital and its principal last Wednesday, March 5. The SEC's message has been consistent since Mary…more

Disgorgement, Enforcement Actions, SEC, Short Sales, Worldwide Capital

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Edward Ptaszek, Jr.

President Obama Signs "Fiscal Cliff" Legislation into Law

As you likely have heard, the President signed the American Taxpayer Relief Act (H.R. 8) (the "Act") on January 2, 2013. The Act, popularly known as the "fiscal cliff" legislation, permanently extends the Bush era tax cuts for…more

3.8% Medicare Tax, Alternative Minimum Tax, American Taxpayer Relief Act, Bush-Era Tax Cuts, Business Taxes

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Erik Raven-Hansen

How Direct Is Direct? Judge Posner Clarifies the Extraterritorial Scope of the Antitrust Laws via the “Direct” Effects Test under the FTAIA

A recent decision from Judge Posner in the Seventh Circuit, Motorola Mobility LLC v. AU Optronics, offers the latest insight into the extraterritorial reach of the Sherman Act. In dismissing Motorola’s price-fixing claims of…more

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Andrew Reich

D.C. Circuit Court Upholds Dodd-Frank Inspired CFTC Regulations Subjecting Mutual Funds That Invest in Commodities to CFTC Regulation

In 2012, the Commodity Futures Trading Commission (CFTC), in response to Dodd-Frank, adopted new regulations to require mutual funds and other registered investment companies that exceed certain position levels in commodity…more

Administrative Procedure Act, CEA, CFTC, CPO, Dodd-Frank

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Deborah Renner

Halliburton Redux: Will Fraud-on-the-Market Survive?

On November 15th, the U.S. Supreme Court granted certiorari in the Halliburton case… again. While the Court’s original Halliburton decision concerned whether loss causation needs to be shown at the class certification stage (it…more

Fraud, Fraud-on-the-Market, Halliburton

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Lauren Resnick

Insuring Your Company Against Cyber-Attacks

Earlier this month, the Department of Justice announced the indictment of 13 individuals associated with the hacker organization Anonymous for a widespread scheme to disrupt and shut down commercial and government websites…more

Cyber Attacks, Cybersecurity, Distributed Denial of Service, DOJ, Hackers

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David Rice

FINRA Offers Regulatory Road Map for 2013

On January 11, 2013, the Financial Industry Regulatory Authority (FINRA) issued its annual Regulatory and Examination Priorities Letter (Priorities Letter) to member firms, which highlights its primary areas of focus for the…more

Algorithmic Trading, Cybersecurity, FINRA, High Frequency Trading, Insider Trading

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Lisa Roberts-Mamone

Normalizing Prenuptial Planning

Prenuptial planning is a common consideration for clients who are getting married. There are several circumstances where a prenuptial agreement is particularly useful, such as second (or perhaps third) marriage situations,…more

Marriage, Prenuptial Agreements

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Kevin Robertson

A Disconcerting Proposal from the Senate: Proposed Repeal of Section 1031

Last November, Senate Finance Committee Chairman, Max Baucus, released the third package in a series of “Staff Discussion Drafts” proposing various changes to reform the Internal Revenue Code. Of course, it is likely that any…more

Deficit Reduction, Internal Revenue Code, Max Baucus, Real Estate Investments, Tax Reform

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Laura Robinson

The EEOC Amplifies its Focus on Religious Discrimination

The U.S. Equal Employment Opportunity Commission (“EEOC”) received 3,721 charges alleging religious discrimination in fiscal year 2013. In partial response to these charges, earlier this month, the EEOC issued new technical…more

Civil Rights Act, EEOC, Religious Discrimination, Title VII

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Jeannette Roegge

Planning for the Distribution of Tangible Personal Property: An Ounce of Planning Is Worth a Pound of Family Harmony

One of the most overlooked elements of an estate plan is the planning for the distribution of a person’s tangible personal property. This property, which many people commonly referred to as “belongings,” encompasses jewelry,…more

Estate Planning, Family Members, Tangible Property

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Joshua Rog

2013 Year-End Securities Litigation and Enforcement Highlights

We are pleased to share with you the 2013 Year-End Highlights Report from the BakerHostetler Securities Litigation and Regulatory Enforcement Practice Team, a periodic survey, in addition to our Executive Alerts, which focuses…more

Chief Compliance Officers, Complex Litigation, Compliance, Corporate Counsel, Enforcement

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Daniela Ronchetti

May I Pay Your Taxes?: Colorado Enacts a New Grantor Reimbursement Statute

Grantor trusts are a powerful tool in estate planning in part because they facilitate depletion of the grantor’s estate by the grantor’s payment of income taxes attributable to the trust…more

Estate Planning, Grantor Trusts, New Legislation, Reimbursements

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Nicholas Rose

Senate Confirms CFPB Chairman — Scrutiny of Lenders' Business Practices Go Under the Microscope

Those that anticipated a dramatic Supreme Court confrontation over the legitimacy of Richard Cordray as director of the Consumer Financial Protection Bureau (CFPB), and perhaps a nullification of all of the nascent agency's…more

CFPB, Compliance, Harry Reid, Lenders, Recess Appointments

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Lee Rosebush

Special Edition: Health Law Update: Senate Passes "Drug Quality and Security Act"

On November 18, 2013, the Senate, by voice vote, approved the Drug Quality and Security Act (DQSA), intended to bolster the Food and Drug Administration's (FDA) oversight of compounding pharmacies in light of last year's…more

Compliance, DQSA, Drug Compounding, Drug Manufacturers, FDA

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C. Zachary Rosenberg

Those Blasted Exclusions! Court Rules that Notice of TCPA Exclusion in Renewal Policy was Valid

Last week, the Illinois Court of Appeals released an opinion ruling that Cincinnati Insurance Company has no obligation to contribute an additional $4 million to a settlement of a class action claim brought under the Telephone…more

Class Action, Exclusions, TCPA, Umbrella Policies

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Jacqlyn Rovine

The Sedona Conference Hails the Advent of Value-Based Information Governance

Information Governance (IG) is emerging as one of the most important issues confronting organizations today, particularly in this age of Big Data and data breaches. The influential Sedona Conference (Sedona) recently weighed in…more

Data Protection, Information Governance

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Gregory Saikin

Marketing to Medicaid Beneficiaries: Texas Proposed Rule Highlights Pitfalls for Providers

Earlier this month, the Texas Health and Human Services Commission (Commission) released a proposed rule, 1 TAC § 354.1452 that prohibits certain marketing activity by Medicaid and CHIP providers. The proposed rule has been…more

Beneficiaries, CHIP, Employee Benefits, Healthcare, HHS

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Brittany Sakowitz

BOEM Releases Final Programmatic Environmental Impact Survey For Offshore Atlantic Geological and Geophysical Activity

On February 27th, the Bureau of Ocean Energy Management, in cooperation with NOAA’s National Marine Fisheries Service (NOAA Fisheries), and pursuant to the National Environmental Policy Act (NEPA), released its final…more

BOEM, National Marine Fisheries Service, NOAA, Offshore Drilling, Oil & Gas

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Ana Salper

Trends in Social Media and the Workplace: Where Does Social Media Harassment Fit In?

How much do an employer’s obligations to prevent and remedy workplace harassment extend into the virtual world?…more

Cyberbullying, Employer Liability Issues, Harassment, NLRB, Social Media

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Andrew Samuels

Removal Evidence Need Not Be Perfect and Declaratory Relief Alone May Satisfy CAFA Amount-in-Controversy Requirement, says the Eleventh Circuit

Answering a question left undecided in other circuits, the Eleventh Circuit held in South Florida Wellness, Inc. v. Allstate Insurance Co., No. 14-10001 (Feb. 14, 2014) that a complaint seeking only declaratory relief “can be up…more

Amount in Controversy, CAFA, Class Action, Declaratory Relief, Evidence

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Anthony Scaletta

Florida Homestead Planning and Irrevocable Trusts

Florida law prohibits the devise of a homestead if the owner is survived by a minor child or children. For purposes of this prohibition, the term “devise” extends to both gifts under a will and transfers by way of a revocable…more

Estate Planning, Homestead Exemption, Intestate Succession, Irrevocable Trusts, Land Titles

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Nathan Schacht

Texas Files Suit to Strike Down EEOC Background Check Guidance

The Equal Employment Opportunity Commission (“EEOC”) usually forces employers who are subject to Title VII to play defense. The State of Texas, however, has upended that approach. On November 4, 2013, Texas filed a federal…more

Background Checks, Criminal Background Checks, Disparate Impact, EEOC, Title VII

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David Schick

Stark Exception For ESRD Not Recognized In Florida

On January 10, 2013, the U.S. Court of Appeals for the Eleventh Circuit ruled in Fresenius Medical Care Holdings, Inc. v. Tucker, that an arrangement can violate Section 456.053 of the Florida Statutes, also known as Florida's…more

Commerce Clause, ESRD, HHS, Patient Self-Referral, Preemption

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Paul Schmidt

Senate Finance Committee Chairman Releases Tax Reform Staff Discussion Drafts – More Expected

From November 19 through 22, 2013, Senator Max Baucus, Chairman of the Senate Finance Committee (the "Committee"), released three staff discussion drafts that propose sweeping changes to the federal rules regarding international…more

Corporate Taxes, International Tax Issues, Tax Reform

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Elizabeth Schutte

Third Circuit Holds Rule 10b-5 Violations May Be Imputed to Investment Management Company on Basis of Apparent Agency

The United States Court of Appeals for the Third Circuit recently issued a decision that highlights the importance of investment management companies using extreme caution when promoting investment products to their clients, as…more

FINRA, Fraud, Hedge Funds, Investment Management, Marketing

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Justin Schwab

Ninth Circuit Denies Rehearing in Clean Air Act Greenhouse Gas Case

As we discussed in an earlier post, in October 2013 the Ninth Circuit held in Washington Environmental Council v. Bellon, 732 F.3d 1131, that it lacked jurisdiction to hear certain environmental organizations’ challenge to…more

Carbon Emissions, Clean Air Act, Greenhouse Gas Emissions

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Melvin Schwechter

State Department Consent Agreements with Aeroflex, Inc. and Meggitt-USA, Inc. Provide Blueprint for Compliance Success

On August 6 and 23, 2013, the US Department of State entered into Consent Agreements with Aeroflex, Inc. (Aeroflex) and Meggitt-USA, Inc. (Meggitt) to resolve numerous alleged violations of the Arms Export Control Act (AECA) and…more

Compliance, Consent Agreements, Department of State, Export Controls, ITAR

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Jessie Schweller

Girl Under Fire: Alicia Keys Sued for Copyright Infringement over Girl on Fire

Songwriter Earl Shuman sued Alicia Keys for allegedly “sampling” parts of the composition “Hey There Lonely Boy” (“Lonely”) that he co-wrote in 1962. According to the complaint, Keys’ recording of “Girl on Fire” (“Fire”), which…more

Alicia Keys, Copyright, Digital Sampling, Earl Shuman, Infringement

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Justin Scott

Development of Horizontal Drilling Techniques Drives Global Demand for Associated Fluids and Chemicals

Research and Markets, a leading international market research and market data firm, has released its report on Global Trends and Forecasts for Fracking Chemicals and Fluid Markets. The report estimates that the global fracking…more

Chemicals, Fracking, Oil & Gas

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Laura Scully

New York City Earned Sick Time Act Notice of Employee Rights Has Finally Been Published

As most New York City employers know by now, the New York City Earned Sick Time Act (“Act”) is scheduled to go into effect on April 1, 2014. While the Act was adopted in the summer of 2013, it was subsequently amended after…more

Employee Rights, Paid Leave, Sick Leave

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Ned Searby

Antitrust Lessons in Africa – Part III

This is the account of a week spent teaching antitrust law in a World Bank sponsored program for the Tanzanian Fair Competition Commission and members of their High Court. Before I leave, my seven year old daughter asks “why do…more

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Steven Sebastian

Multiple Employer Welfare Arrangements: New Reporting Requirements, Civil Penalties and Other Regulations

Generally, a multiple employer welfare arrangement (MEWA) is a welfare benefit program that is sponsored by a group of employers that have common business and industry interests, but not common ownership interests. The…more

DOL, Form M-1, MEWAs

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James W. Seegers

The NLRB Finishes 2012 with a Bang and Shows No Sign of Slowing Down in 2013

The National Labor Relations Board (the "NLRB") released a number of important decisions in late December 2012. The most significant of these decisions, which seemingly signal continued activism by the NLRB, address employee…more

Collective Bargaining, Dues Checkoff, NLRB, Union Dues, Unions

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Judy Selby

Governing Big Data

Sources and volumes of data are growing exponentially. Website clicks, social media, sensors, and card swipers are generating massive amounts of data every second. More and more enterprises are beginning to collect and utilize…more

Big Data, Information Governance, Internet, Technology

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Lynn Sessions

Proposed $6.8M Fine Related to Puerto Rico Breach Incident

Triple-S Salud, Inc. (“Triple-S”), a Puerto Rico Health Insurance Administration (“PRHIA”) contractor, filed a Form 8-K indicating that the PRHIA intended to impose a civil monetary penalty of $6,768,000 and other administrative…more

Data Breach, EHR, Fines, Form 8-K, Healthcare

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Sabrina L. Shadi

San Francisco's Family-Friendly Workplace Ordinance Allows Requests for Flexible Work Arrangements

San Francisco's new Family-Friendly Workplace Ordinance (the "Ordinance") applies to employers with 20 or more employees and to those San Francisco-based employees who have been employed for at least six months and who work at…more

Family-Friendly Workplace Ordinance, Reasonable Accommodation

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Kevin Shaughnessy

Deconstructing DOMA: The DOL Takes Its First Step Down The Path Toward Extended Rights for Same-Sex Spouses

The United States Department of Labor (DOL) just took the first of "many steps" it plans to take over the coming months to implement the United States Supreme Court's decision in United States v. Windsor, striking down Section 3…more

DOL, DOMA, Employee Benefits, Employee Rights, Marriage

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Lance Shea

FDA Releases Unique Device Identification Final Rule, Draft Guidance

On September 24, 2013, the Food and Drug Administration (FDA) published a Final Rule, which will, over the next several years, require many medical devices distributed in the U.S. to carry a unique device identifier (UDI)…more

FDA, Medical Devices, Unique Device Identifiers

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James Sherer

What? The Rules Committee Hearings Don’t Have A Hashtag?

On a snowy Sixth Avenue this week, thousands of people packed the New York Hilton Midtown for the sensory overload that is LegalTech New York (#LTNY), the annual E-Discovery, privacy, and information governance bash…more

Marketing

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Charles Shih

The FTC Takes a Closer Look at Alternative Scoring Products

The Federal Trade Commission (“FTC”) hosted a panel discussion, in late March on “Alternative Scoring Products” as part its 2014 Spring Privacy Series, signaling the Commission’s increased attention on this burgeoning industry…more

Compliance, FCRA, FTC

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Lindsey Shoshany

Creative, But Perhaps Too Creative, Lawyering

U.S. District Judge Rakoff ruled on whether copying legal filings amounts to copyright infringement. His verdict: it does not. Judge Rakoff granted summary judgment to defendants Lexis and Westlaw, dismissing plaintiffs’…more

Copyright, Fair Use, Infringement, Legal Filings

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Melissa Siebert

President Obama Directs the DOL to Attack FLSA Exemptions

Everybody is talking about it – President Obama’s announcement at the end of last week that existing overtime regulations be “modernized” and “streamlined” – but what exactly does this mean? The answer is, only time will tell…more

DOL, Exempt-Employees, Exemptions, FLSA, Non-Exempt Employees

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John Siegal

Arbitrators, Not Judges, Must Decide Whether Noncompetes Are Enforceable if There is an Arbitration Clause, Says U.S. Supreme Court

On November 26, 2012, the United States Supreme Court held that the enforceability of a noncompete agreement containing a valid arbitration clause must be determined by an arbitrator in the first instance, not by a federal or…more

Arbitration, Arbitration Agreements, Federal Arbitration Act, Non-Compete Agreements

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Lee Simowitz

Sometimes Merger Fixes Are as Close as the End of Your Nose

When it comes to negotiating merger remedies with federal antitrust enforcement agencies, the Department of Justice and the Federal Trade Commission each have guides or statements that may help. But as good as their guidance may…more

Antitrust Provisions, DOJ, FTC, Mergers, Negotiations

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Marc Skapof

In re School Specialty, Inc., Case No. 13-10125 (KJC) (Bankr. D. Del. Apr. 22, 2013)

In an age of historically low interest rates, lenders rely on fee income and other devices to enhance their returns. One of these mechanisms -- and one that can have dramatic consequences for a borrower -- is the inclusion of a…more

Borrowers, Interest Rates, Lenders, Loans, Make-Whole Premium

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Nicole Skolout

Loreto v. The Procter & Gamble Company: Southern District of Ohio Grants Motion to Strike Class Allegations in Consumer False Advertising Case

In a significant decision, the Southern District of Ohio granted, in full, the defendant’s motion to strike class allegations in a consumer false advertising class action before any significant discovery had taken place or the…more

Class Action, False Advertising, False Claims Act, Proctor & Gamble

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George Skupski

Michigan Lawmakers Evaluate Lower Severance Tax and Infrastructure Bills for Carbon Dioxide-Injected Oil and Gas Wells

While legislation driven by the rapid growth of horizontal drilling and hydraulic fracturing has dominated oil and gas legislation in recent years, this week, Michigan lawmakers considered bills to enhance viability of other…more

Fracking, Oil & Gas, Pipelines, Resource Extraction, Severance Tax

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Carrie Dettmer Slye

Another Blow to Data Breach Class Actions: Bell, et al. v. Blizzard Entertainment, Inc.

On July 11, 2013, the U.S. District Court for the Central District of California dismissed a majority of the claims brought against Blizzard Entertainment, Inc. after a data breach suffered by Blizzard in 2012…more

App Developers, Blizzard Entertainment Inc, Class Action, Consumer Fraud, Cybersecurity

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Elizabeth Ann Smith

Is Your Hedge Fund a Trader or Investor?

Hedge fund managers should be aware of two recent U.S. Tax Court memorandum decisions that shed further light on when a taxpayer, such as a hedge fund, is considered to be a "trader" or "investor" for tax purposes -- a…more

Hedge Funds, Investors, IRS, Tax Deductions

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Erica Sollie

$1.1 Billion and Counting – The New Era of OFAC Enforcement

On February 13, 2014, BNP Paribas ("BNP"), France's largest bank, announced in its fourth quarter results that it will soon be joining the growing community of banking institutions that, within the past five years, have been…more

Banking Sector, Enforcement, Foreign Banks, OFAC

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Brian Song

2013 Year-End Securities Litigation and Enforcement Highlights

We are pleased to share with you the 2013 Year-End Highlights Report from the BakerHostetler Securities Litigation and Regulatory Enforcement Practice Team, a periodic survey, in addition to our Executive Alerts, which focuses…more

Chief Compliance Officers, Complex Litigation, Compliance, Corporate Counsel, Enforcement

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Ericka Spears

Domino's Pizza Drivers Fail to Deliver Common Circumstances to the Eighth Circuit

Despite their work uniforms and company cars, pizza delivery drivers do not have much in common (at least according to the Eighth Circuit). Recently, in Luiken v. Domino’s Pizza, LLC, No. 12-1216, 2013 WL 399248 (8th Cir…more

Class Action, Class Certification, Commonality, Delivery Drivers, Dominos

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Janet Spreen

ISS Releases Details on Governance QuickScore 2.0

Late last month, Institutional Shareholder Services Inc. (ISS) reported its updates and enhancements to Governance QuickScore, its governance risk assessment tool, which will be used to score public companies during the 2014…more

Corporate Governance, ISS, QuickScore

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George Stamboulidis

$1.1 Billion and Counting – The New Era of OFAC Enforcement

On February 13, 2014, BNP Paribas ("BNP"), France's largest bank, announced in its fourth quarter results that it will soon be joining the growing community of banking institutions that, within the past five years, have been…more

Banking Sector, Enforcement, Foreign Banks, OFAC

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Maryanne Stanganelli

Yelp Denied Attempt to Keep Its Online Reviewers’ Identities Anonymous

In 2012, a local rug cleaning company in Virginia, Hadeed Oriental Rug Cleaning (“Hadeed”), filed a defamation action against the authors of seven critical reviews it received on Yelp, indicating that the reviews falsely stated…more

Anonymity, Defamation, Fake Reviews, First Amendment, Free Speech

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Trevor Stanley

2013 Mid-Year Securities Litigation and Enforcement Highlights

Table of Contents - I. Supreme Court Case Review (October 2012 Term) II. Rule 10b-5 Cases III. Investment Adviser and Hedge Fund Cases IV. Settlements V. Commodities and Futures Litigation and…more

Amgen Inc. v Connecticut Retirement Plans, Comcast, Commodities, Enforcement Actions, Gabelli v SEC

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Ronald Stepanovic

In re MFW Shareholders Litigation: Business Judgment Rule Applicable to Freeze-Out Mergers with Built-in Protections for Minority Shareholders

On May 29, 2013, the landmark decision of In re MFW Shareholders Litigation (MFW), issued by Chancellor Strine of the Delaware Chancery Court, held the business judgment rule standard of review is applicable to freeze-out…more

Board of Directors, Business Judgment Rule, Controlling Stockholders, Freeze-Out Mergers, Minority Shareholders

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Michael Stiff

Planning for Carried Interests & Avoiding Section 2701

Alternative investments in private equity and hedge funds have gained in popularity over the last two decades and have become a regular allocation of many investment portfolios…more

Alternative Investment Funds, Carried Interest, Hedge Funds, Investors, Portfolio Managers

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Lawrence M. Sung

BakerHostetler Patent Watch Suprema, Inc. v. Int'l Trade Comm'n

On December 13, 2013, in Suprema, Inc. v. Int'l Trade Comm'n, the U.S. Court of Appeals for the Federal Circuit (Prost, O'Malley,* Reyna) affirmed-in-part, vacated-in-part and remanded-in-part the Commission's cease-and-desist…more

Exclusion Orders, ITC, Patent Infringement, Patent Litigation, Patents

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Steve Sutton

As if Employers Needed Another Reminder, Here Are 8.4 Million More Reasons to Get the Tip Credit Right

A couple of weeks ago, a Philadelphia based sports bar chain entered into a consent order with the U.S. Department of Labor (DOL) and filed a request with the E.D. Pennsylvania for approval of a separate settlement with…more

DOL, Employee Definition, FLSA, Minimum Wage, Restaurant Industry

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Summer Swallow

Marketing to Medicaid Beneficiaries: Texas Proposed Rule Highlights Pitfalls for Providers

Earlier this month, the Texas Health and Human Services Commission (Commission) released a proposed rule, 1 TAC § 354.1452 that prohibits certain marketing activity by Medicaid and CHIP providers. The proposed rule has been…more

Beneficiaries, CHIP, Employee Benefits, Healthcare, HHS

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Christopher Swift

Ohio Budget Bill Introduced

On February 12, 2013, the text of the Governor's budget proposal for the 2014-2015 biennium, announced on February 4, 2013, was made public as House Bill 59 ("HB 59"). The new HB 59 includes a state income tax deduction for…more

Local Taxes, Pass-Through Entities, Sales & Use Tax, Severance Tax, State Budgets

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Alexander Szilvas

Senate Finance Committee Chairman Proposes Repeal of Like-Kind Exchange Deferral and Other Changes Affecting Real Estate

On November 21, 2013, Senate Finance Committee Chairman Max Baucus released the third package in a series of "Staff Discussion Drafts" containing proposals to reform the tax code. This third set of proposals focuses on reforms…more

Depreciation, Property Tax, Real Estate Market, Realty Transfer Taxes, Tax Deductions

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Aaron Thompson

No Need To Try the Individual Claim After Class Cert Denial – Ninth Circuit Asserts Jurisdiction over Voluntary Stipulated Dismissal and Upholds Denial of Class Certification

The Ninth Circuit recently affirmed the United States District Court for the Central District of California’s denial of class certification of a Plaintiff’s California consumer law claims based primarily based on the…more

Class Action, Class Certification, Voluntary Dismissals

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William Toomajian

Sixth Circuit Denies Government Motion for Rehearing in Quality Stores Employment Tax Challenge

The Sixth Circuit has unanimously and summarily denied a Government request for en banc rehearing of a taxpayer-favorable ruling in United States v. Quality Stores, Inc., 693 F.3d 605 (6th Cir. Sept. 7, 2012)…more

FICA Taxes, IRS, Quality Stores, Refunds, Statute of Limitations

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Amy Traub

The EEOC Amplifies its Focus on Religious Discrimination

The U.S. Equal Employment Opportunity Commission (“EEOC”) received 3,721 charges alleging religious discrimination in fiscal year 2013. In partial response to these charges, earlier this month, the EEOC issued new technical…more

Civil Rights Act, EEOC, Religious Discrimination, Title VII

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Robert Tucker

Cullen v. State Farm - The Ohio Supreme Court Returns to Rule 23 Issues

On November 5, 2013, the Supreme Court of Ohio adopted the class certification principles announced in the U.S. Supreme Court's decisions in Wal-Mart Stores, Inc. v. Dukes and Comcast v. Behrend. In Cullen v. State Farm Mutual…more

Class Action, Class Certification, Comcast, Comcast v. Behrend, Dukes v Wal-Mart

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Amy Vanderwal

Buyers and Sellers Beware – Disallowance of Purchased Bankruptcy Claims

The Third Circuit recently held that claims purchased from trade creditors by a claims trader will be disallowed under section 502(d) of the Bankruptcy Code when the seller of the claim received, and did not repay, a preference…more

Bankruptcy Code, Debt Buyers

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Ernest Vargo

U.S. Supreme Court Considers Arbitration Clauses and Class Actions Next Year

The Supreme Court recently granted certiorari to consider Oxford Health Plans’ appeal of a ruling compelling class arbitration with its providers over the insurer’s payment practices…more

Arbitration, Arbitration Agreements, Class Action, Oxford Health, Sutter

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Joseph Verciglio

IRS “Wealth Squad” – Something to Keep in Mind During Tax Season

The IRS Global High Wealth Industry (“GHWI”) (part of the IRS Large Business & International Division) is auditing individuals with tens of millions of assets or income who utilize complicated financial and estate plan…more

Audits, Compliance, Enforcement Actions, IRS

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Jeffrey Vlasek

Employees Seek To Take Bite From Apple (and Urban Outfitters)

Chances are that if you ask someone what they remember from the cult-classic Paul Verhoeven film Total Recall, they’ll recall (among other things) the sequence where Arnold Schwarzenegger attempts to sneak through security. In…more

Employer Liability Issues, Unpaid Overtime, Urban Outfitters, Wage and Hour

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Jessica Wade

California Law Requires Certain Business Establishments to Post a Notice Regarding Human Trafficking and Slavery

California's Department of Justice recently posted a model notice on their website with a variety of human trafficking and slavery hotlines. Under California Civil Code §52.6, now that this model notice has been posted, certain…more

Human Rights, Human Trafficking, Notice Requirements, Slavery

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Brett Wall

Ohio Supreme Court Holds Statute of Frauds Applies To Defenses, Too

On March 6, 2014, the Supreme Court of Ohio held that the statute of frauds barred a group of guarantors from raising, as a defense to a collection suit, a claim that the bank’s right to enforce the guaranties was barred by an…more

Affirmative Defenses, Statute of Frauds

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Kendall Wangsgard

"Show Me the Money" or 14 Million Reasons to Upgrade Your Compliance Program

Although delivered 15 years before the Securities and Exchange Commission even established its whistleblower program, Jerry Maguire's iconic lesson "Show Me The Money!" found new meaning last Tuesday. On October 1, 2013, the SEC…more

Compliance, Enforcement Actions, SEC, Whistleblower Awards, Whistleblowers

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Nathan Ware

U.S. Treasury Awards $3.5 Billion in New Markets Tax Credit Allocations

On April 24, 2013, the U.S. Department of the Treasury's Community Development Financial Institutions Fund (the CDFI Fund) announced the community development entities (CDEs) selected to receive the $3.5 billion in New Markets…more

Community Development Entities, New Market Tax Credits, U.S. Treasury

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Thomas Warren

Ohio Supreme Court Holds Statute of Frauds Applies To Defenses, Too

On March 6, 2014, the Supreme Court of Ohio held that the statute of frauds barred a group of guarantors from raising, as a defense to a collection suit, a claim that the bank’s right to enforce the guaranties was barred by an…more

Affirmative Defenses, Statute of Frauds

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Oren Warshavsky

Robin Thicke, Marvin Gaye, and the Blurred Line Between Inspiration and Infringement

Robin Thicke’s Blurred Lines has been a pop-music juggernaut: the year’s best selling song in the United States and the UK is entering its 11th week at the top of Billboard’s Hot 100 chart…more

Copyright, First Amendment, Freedom of Expression, Idea Theft, Infringement

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Joanna Wasick

The Falcone Settlement: A Harbinger of Things to Come?

On August 19, 2013, the Securities and Exchange Commission (SEC) announced that New York-based hedge fund adviser Philip A. Falcone and his advisory firm Harbinger Capital Partners -- which once boasted $26 billion under…more

DOJ, Fraud, Hedge Funds, SEC, Settlement

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Leah Watson

2013 Mid-Year Securities Litigation and Enforcement Highlights

Table of Contents - I. Supreme Court Case Review (October 2012 Term) II. Rule 10b-5 Cases III. Investment Adviser and Hedge Fund Cases IV. Settlements V. Commodities and Futures Litigation and…more

Amgen Inc. v Connecticut Retirement Plans, Comcast, Commodities, Enforcement Actions, Gabelli v SEC

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William J. Weber

Rockefeller Releases Results of Fortune 500 Survey on Cybersecurity

Back in September, I posted here about Senate Commerce Committee Chairman John D. Rockefeller’s (D-WV) letters to all FORTUNE 500 companies inquiring about business opposition to cybersecurity legislation…more

Big Data, Cyber Attacks, Cybersecurity, Cybersecurity and American Cyber Competitiveness Act of 2013, Data Protection

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David A. Whitcomb

On Second Thought — The Ohio Supreme Court Reverses Course and Holds that a Merger Does Not Trigger the Beginning of a Noncompetition Period

In October, the Ohio Supreme Court reconsidered and reversed, in part, its May 24, 2012, decision in Acordia of Ohio, L.L.C. v. Fishel, 2012-Ohio-2297 (Acordia I), which sharply restricted the ability of employers to enforce…more

Non-Compete Agreements

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Samantha White

Transfers to Non-Citizen Spouses: Planning Considerations

Estate planning professionals commonly encounter married couples with mixed nationalities. That is, one spouse is an American citizen and the other is not. The U.S. estate and gift tax rules are generally the same for U.S…more

Estate Tax, Gift Tax, Immigrants, Marital Assets

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Peter Whitfield

Federal Agency Approvals Beyond the Scope of the Migratory Bird Treaty Act

In the last month, two separate federal district courts have declined to extend the scope of the Migratory Bird Treaty Act, 16 U.S.C. §§ 703-712 (MBTA), to federal agency approvals of projects that plaintiffs alleged could…more

BOEM, DOE, Energy, Migratory Bird Treaty Act

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W. Ray Whitman

BakerHostetler’s Shale Oil and Gas Industry 2013 Year-in-Review and 2014 Look Forward

With Congress and the White House mired in partisan gridlock and preoccupied by issues like the federal debt ceiling, the Affordable Care Act rollout, and the Edward Snowden leak investigation, states again took the lead on…more

Energy, Oil & Gas, Shale Gas

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Deborah A. Wilcox

ICANN's Trademark Clearinghouse to Launch March 26

ICANN will make its Trademark Clearinghouse available for trademark recordation on March 26, 2013. All companies who value protection of their brands on the Internet should consider recording their brands in the Clearinghouse…more

gTLD, ICANN, Trademark Clearinghouse, Trademarks

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Diane Wilcox

Relief Offered by DOL for Cross-Collateral Agreements Impacting IRAs and ERISA Retirement Plans

The Department of Labor (DOL) has proposed retroactive relief and a limited repair period for certain common extensions of credit found in agreements between financial institutions and the accountholders of individual retirement…more

Cross-Collateralization Agreements, DOL, ERISA, IRA

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Stacy Wilhite

Employer Health Insurance Marketplace Notice Guidance Issued—October 1, 2013, Deadline

The U.S. Department of Labor (DOL) recently issued model notices that employers may use to satisfy the Health Insurance Marketplace notice required beginning October 1, 2013…more

Affordable Care Act, COBRA, Deadlines, DOL, FLSA

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Leigh Ann Wilson

Compliance Corner: Review of IRS 2013 Audit Priorities

Although the Internal Revenue Service (IRS) is engaged in a variety of ongoing qualified plan compliance, education and audit projects, it is targeting certain types of retirement plans and activities in 2013…more

401k, 403(b) Plans, Audits, Compliance, IRS

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Justin Winquist

Wyoming Supreme Court Remands Fracking Chemical Disclosure Case to District Court for Reconsideration

On March 12, 2014, the Wyoming Supreme Court issued a highly anticipated ruling in a case concerning the scope of trade secret protection available to exempt certain fracking chemical information—which Wyoming requires to be…more

Chemicals, discl, Fracking

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Lucas Witters

Senate Finance Committee Chairman Proposes Repeal of Like-Kind Exchange Deferral and Other Changes Affecting Real Estate

On November 21, 2013, Senate Finance Committee Chairman Max Baucus released the third package in a series of "Staff Discussion Drafts" containing proposals to reform the tax code. This third set of proposals focuses on reforms…more

Depreciation, Property Tax, Real Estate Market, Realty Transfer Taxes, Tax Deductions

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Robert Wolin

Do You Know What Your Hospital Board Members Are Doing?

David Chandler was appointed to serve as chairman of Tri-Lakes Medical Center (TLMC), a community hospital in Panola County, Mississippi. As chairman, Chandler set board meeting agendas, regularly dealt with the administrator…more

Anti-Kickback Statute, Board of Directors, Compliance, Fraud, Healthcare

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Kimberly M. Wong

Get Ready! HHS OCR Announces Next Round of HIPAA Audits

To combat new risks associated with rapidly evolving health information technology, the Health Insurance Portability and Accountability Act (HIPAA) and the Health Information Technology for Economic and Clinical Health Act…more

EHR, Healthcare, HHS, HIPAA, HITECH

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Stephanie Wong

JOBS Act Update

The Securities and Exchange Commission’s (SEC) Division of Trading and Markets and the Financial Industry Regulatory Authority (FINRA) recently published items of particular interest to firms following the progress of the…more

Broker-Dealer, Crowdfunding, FINRA, General Solicitation, JOBS Act

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Donald Workman

Always Be Prepared: Forecasting a Business Partner's Financial Problems and How to Prepare

As the American economy continues to slog through the ongoing Great Recession, even financially sound companies face challenges due to the continued economic malaise. In particular, a company that works with suppliers, customers…more

Adequate Assurances, Business Development, Client Services, Contract Claims, Creditors

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Kenneth Wright

Re: New Bad Act Disqualification, Disclosures and Certification for Rule 506 Exempt Offerings under Regulation D

Today, new Rules 506(d) and (e) of Regulation D under the Securities Act and changes to Form D (Bad Act Rules) take effect to make all Rule 506 offerings subject to certain "bad act" disqualification, disclosure and…more

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Michael Young

Federal Prosecutors Indict Accused Data Thieves

Federal prosecutors announced yesterday the indictment of five men accused of involvement in the theft of over 160 million credit card numbers…more

Credit Cards, Criminal Prosecution, Cybersecurity, Cybertheft, Data Protection

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Gonzalo Zeballos

International Privacy - 2013 Year in Review

2013 was a year in contrasts within data privacy. To begin with the “normal” course, Canada sought (but failed) to pass a mandatory breach notification amendment to its federal privacy law, and Uruguay acceded to the European…more

Data Breach, Data Protection, Edward Snowden, Notice Requirements, NSA

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Jing Zhu

The U.S. Election and China-U.S. Relations

Dr. Elliot J. Feldman last week led discussions on the U.S. presidential election’s impact on China-U.S. relations at the University of Chicago Center in Beijing, the Beijing Arbitration Commission, and two other fora in…more

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