Burr & Forman

420 North 20th Street Suite 3400
Birmingham, AL 35203 , United States

  • (205) 251-3000
  • (205) 458-5100

Court Sets Aside SEC’s First Muni “Control-Person” Settlement

Earlier this month, the SEC used a “control-person” charge in a settled action against an elected municipal official in connection with municipal bond offering. Enforcement touted that “first” on the Monday after: “An…more
| Civil Remedies, Constitutional Law, Finance & Banking, Securities Law

Judge Barbier BP Attempt to Limit Clean Water Act Fines

On September 4, 2014, District Court Judge Carl Barbier issued his “Findings of Fact and Conclusions of Law – Phase One Trial” in the Deepwater Horizon oil spill litigation. In his 153 page opinion, Judge Barbier found BP liable…more
| Civil Remedies, Energy & Utilities, Environmental Law

FINRA Solicitor Pay-to-Play Rules Complete IA & MSRB Suite

Last Friday, FINRA proposed pay-to-play prohibitions that parallel and implement similar Investment Adviser Act provisions in Rule 206(4)-5. That IA Rule prohibits investment advisers from paying third-parties to solicit…more
| Finance & Banking, Securities Law

Cure and Reinstatement of Home Mortgages in Chapter 13: Florida's Bright-Line Rule is Not So Bright

Section 1322(c)(1) of the Bankruptcy Code allows debtors to cure defaults and reinstate a mortgage on their principal residence "until such residence is sold at a foreclosure sale that is conducted in accordance with applicable…more
| Bankruptcy, Finance & Banking, Real Estate - Residential

Birmingham Medical News: Are You Ready for the Upcoming HIPAA Compliance Audits?

Earlier this year, the U.S. Department of Health and Human Services Office of Civil Rights ("OCR") announced its plan for a number of audits regarding compliance with the Health Insurance Portability and Accountability Act of…more
| Civil Rights, Privacy, Health, Science, Computers, & Technology

Scalia & Thomas Look to Take on SEC’s Insider-Trading Theory

In an unusual three-page concurrence to a November 10 cert denial, Justice Scalia (joined by Justice Thomas) virtually called for a case that would subject the SEC’s insider-trading interpretations to scrutiny. Because courts…more
| Securities Law

Forex Probe Results in Fines, but Investigation Not Over Yet

The American Commodity Futures Trading Commission (CFTC), British Financial Conduct Authority (FCA), and Swiss Financial Market Supervisory Authority (FINMA) announced fines of $3.4 billion against five global banks on…more
| Administrative Law, Finance & Banking, International Law & Trade, Securities Law

Applicability of USTP Guidelines to Bankruptcy Administrators

Two institutions exist to ensure that bankruptcy cases are conducted in conformity with bankruptcy laws: the U.S. Trustee Program (USTP) and the Bankruptcy Administrator (BA) Program. 1 These institutions perform substantially…more
| Bankruptcy

SEC Ramps Up Municipal Enforcement

The SEC continues to ramp up its Enforcement efforts in the municipal-securities realm. The agency announced a series of settled actions on November 6…more
| Finance & Banking, Securities Law

EPA Further Delays Hydraulic Fracturing Study as Controversy Builds

EPA’s current estimate of the completion time for a draft of its study of the risks posed by hydraulic fracturing (“fracking”) to drinking water is now projected by the agency to be developed in early 2015. This is based on…more
| Energy & Utilities, Environmental Law, Zoning, Planning & Land Use

Crackdown on Employer NDAs Without Whistleblower Protections

An October 27 letter from Rep. Maxine Waters and seven other House Democrats (from the Financial Services & Oversight Committee) asked the SEC to double down on scrutiny of employer confidentiality agreements that might violate…more
| Civil Rights, Labor & Employment Law, Finance & Banking, International Law & Trade, Securities Law

Arbitration vs Forum-Selection Clauses: Chicken & Egg Dilemma?

Last week the Fifth Circuit weighed in on how inartfully crafted arbitration and forum-selection clauses might trump one another. Together with recent decisions from the Second and Ninth Circuits – each with cert petitions…more
| Alternative Dispute Resolution (ADR), Civil Procedure, Commercial Law & Contracts, Finance & Banking, Securities Law

MSRB Proposes Gift Limitations for Municipal Advisors

The MSRB last week proposed an extension of its gift-limitations Rule G-20 to encompass municipal advisors. The Proposed Rule generally limits gifts in relation to municipal securities or advisory services to $100 per year…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

Updates on Municipal Advisor Rules

Fiduciary Standard: "A municipal advisor and any person associated with such municipal advisor shall be deemed to have a fiduciary duty to any municipal entity for whom such municipal advisor acts as a municipal advisor,…more
| Finance & Banking, Securities Law

SEC Approves Supervision & Compliance Rule for Municipal Advisors

The SEC last week approved new MSRB Rule G-44 implementing supervision and compliance requirements for municipal advisors. The MSRB touted the Rule as “its first dedicated rule for municipal advisors” under the Dodd-Frank…more
| Commercial Law & Contracts, Finance & Banking, Securities Law
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Areas of Practice
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100+ Attorneys

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