Builder of Investment Models Deviates From Blueprints Employee’s Rogue Remodeling Costs Builder Plenty -
The SEC’s recent order instituting administrative and cease-and-desist proceedings (OIP) against registered investment…
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/ Administrative Law, Finance & Banking, Health, Labor & Employment Law, Securities Law
President Trump’s May 5, 2025, executive order titled “Regulatory Relief to Promote Domestic Production of Critical Medicines” sets out the administration’s goals to increase the domestic manufacture of critical pharmaceutical…
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/ Administrative Law, Environmental Law, Health, Science, Computers, & Technology, Zoning, Planning & Land Use
More than a decade has passed since the enactment of the Jumpstart Our Business Startups (JOBS) Act, which encouraged small-company capital formation through a reduction in costly regulatory burdens on SEC registrants. In…
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/ Administrative Law, Business Organizations, Finance & Banking, Mergers & Acquisitions, Securities Law
At the NAIC Spring National Meeting, the Illustration Subgroup and the Suitability Working Group reported that they are building out the following additions..…
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/ Administrative Law, Commercial Law & Contracts, Consumer Protection, Insurance, Labor & Employment Law
If at first you don’t succeed, try, try again. An age-old adage that now provides critical guidance for insurers seeking to protect themselves in the face of bad faith failure to settle claims…
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/ Civil Procedure, Commercial Law & Contracts, Insurance
In October 2024, FINRA released its blueprint for the securities industry’s use of the metaverse — the metaverse report. The metaverse, often framed as “the next evolution of today’s internet,” is a loosely defined term used to…
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/ Administrative Law, Consumer Protection, Finance & Banking, Science, Computers, & Technology, Securities Law
The SEC’s recent order instituting administrative and cease-and-desist proceedings (OIP) against registered investment advisers Two Sigma Investments LP and Two Sigma Advisers LP illustrates significant risks for investment…
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/ Administrative Law, Finance & Banking, Labor & Employment Law, Securities Law
The second Trump administration has issued a slew of deregulatory measures aimed at turbocharging the reduction of regulatory bloat (EO 14192, requiring the repeal of 10 regulations for every new one issued), ensuring…
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/ Administrative Law, Antitrust & Trade Regulation, Constitutional Law, Consumer Protection, Elections & Politics
U.S. Eleventh Circuit Court of Appeals -
Prime P&C v. Kepali Grp - insurance coverage, vehicle, after-acquired -
State Farm v. LaRocca - Fla Health Care Clinic Act, wholly owned exception, certified question -
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/ Civil Procedure, Civil Remedies, Constitutional Law, Criminal Law, Family Law
The NAIC’s privacy protections and cybersecurity working groups have continued their building efforts…
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/ Administrative Law, Consumer Protection, Insurance, Privacy, Science, Computers, & Technology
A “hedge clause,” when incorporated into an investment advisory agreement, is designed to limit an adviser’s liability to its advisory client. Even carefully worded hedge clauses, however, can attract unwanted SEC enforcement…
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/ Commercial Law & Contracts, Finance & Banking, Securities Law
When COBRA cases survive motions to dismiss, big dollars are at stake. Marrow v. E.R. Carpenter Co., No. 8:23-cv-02959, is a class action lawsuit filed in the U.S. District Court for the Middle District of Florida on behalf of…
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/ Insurance, Labor & Employment Law, Taxation
Contingent deferred annuities (CDAs) represent an interesting approach to securing lifetime income but have struggled for recognition in the marketplace since their introduction more than a decade ago. Recent developments,…
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/ Commercial Law & Contracts, Finance & Banking, Insurance, Labor & Employment Law, Securities Law
Since its establishment more than a dozen years ago, the SEC’s whistleblower program has grown substantially — in terms of the number of whistleblower tips received by the SEC, as well as the number and dollar amount of awards…
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/ Administrative Law, Civil Rights, Finance & Banking, Labor & Employment Law, Securities Law
The Fourth Circuit Court of Appeals recently concluded that the U.S. Supreme Court’s decision in Coinbase Inc. v. Bielski is not limited to interlocutory appeals involving arbitration…
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/ Alternative Dispute Resolution (ADR), Civil Procedure
