News & Analysis as of

Administrative Law Judge (ALJ) Negligence

Morrison & Foerster LLP - Left Coast Appeals

This Week at the Ninth: Sports, Drugs, and Pensions

This week, we take a look at two Ninth Circuit decisions concerning the employer-employee relationship.  In the first, the Court let the lawsuit against the NFL for its negligent handling of drug distribution to its injured...more

Katten Muchin Rosenman LLP

DC Circuit Decision Against Investment Adviser Leaves Many Unanswered Questions

On April 30, 2019, US Court of Appeals for the DC Circuit decided an important case involving the disclosure obligations of investment advisers. The case decided that an adviser’s disclosure that it “may” have a conflict of...more

Snell & Wilmer

Logic Prevails as the D.C. Circuit Reverses the SEC: An Investment Adviser Cannot Be Negligent and Intentional at the Same Time

Snell & Wilmer on

In a triumph of reason over complexity, the D.C. Circuit has held that an investment adviser cannot negligently commit an intentional act. In so holding, the second highest court in the land has (once again) overturned a...more

Burr & Forman

Negligence & Willfulness Mutually Exclusive For SEC

Burr & Forman on

Last week, the D.C. Circuit held that the SEC can’t prosecute the same conduct as both willful and as negligent under the tandem sections found in most of the nation’s securities laws. The ruling prevents the SEC from piling...more

UB Greensfelder LLP

The Folly Of ADV Disclosures: What The Robare Decision Teaches About Trying To Do It Right

UB Greensfelder LLP on

Most of the time, the cases I write about were some other lawyer’s. In some respects, it’s easier to offer comments when it isn’t my case. I can, hopefully, be more objective, less pissed off (when the result is one I...more

Lowndes

Florida Administrative Law Judge Invalidates Governor’s Executive Order Mandating Generators for Senior Housing Facilities

Lowndes on

Last week, an Administrative Law Judge ruled against the governor and state agencies regulating senior housing communities, finding that the controversial emergency order did not address a true emergency and as written was...more

Burr & Forman

Rare SEC Administrative Loss in Adviser ADV Case

Burr & Forman on

SEC Administrative Law Judge Grimes dismissed administrative charges against an investment adviser and its principals for allegedly failing to disclose material conflicts of interest in its Form ADV and willfully filing false...more

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