Financial regulators in the UK have been interested for some years in the question of how personal behaviour can affect the risk profile of a financial institution. A recent SEC case suggests that US regulators may now be...more
A complaint filed in federal court will test the boundaries of protection from liability for individuals behind decentralized autonomous organizations. On May 2, 2022, a putative class action was filed in the US District...more
According to Cornell Law School’s Legal Information Institute, respondeat superior is “[a] legal doctrine, most commonly used in tort, that holds an employer or principle legally responsible for the wrongful act of an...more
Companies commonly advance millions in legal fees to employees fighting securities fraud and other charges related to work performed in connection with the employment. When employees proceed to trial, that number can balloon...more
Boeing’s settlement with DOJ raises more questions than answers. While I understand that a criminal case against Boeing requires DOJ to identify one or more individuals who have committed a crime that can be fairly...more
As a special Halloween Treat, we look at a recent Motion to Dismiss ruling by Judge Doumar. The facts are colorful. An unidentified SeaWorld employee, dressed as a clown, was working at the Howl-O-Scream event at Busch...more
Marez v. Lyft, Inc., 2020 WL 2108643 (Cal. Ct. App. 2020) - While driving a car rented through Lyft’s “Express Drive Program,” Jonathan Guarano struck the plaintiffs and caused significant injuries. Plaintiffs sued Lyft...more
The First Circuit has affirmed the confirmation of a FINRA award over an appellant’s claim that the arbitrators erred by, among other things, not holding an investment firm liable under the doctrine of respondeat superior....more
A broker-dealer and its chief executive officer settled charges brought in 2017 by the Securities and Exchange Commission that the firm facilitated manipulative conduct by a customer, despite being alerted by regulators and...more
It is a health care provider’s nightmare – despite extensive HIPAA training and best efforts to hire the right people, one of your staff members has gone rogue with a patient’s information. Whether a receptionist loudly...more
As Goldman Sachs continues to navigate its way through the 1MDB investigation and prosecution, there is no question that the media is beginning to focus on who at Goldman Sachs knew about the bribery activity (or should have...more
In Zander v. Orlich, No. 17-2792, (7th Cir. Oct. 30, 2018), the U.S. Court of Appeals for the Seventh Circuit decided how to construe and apply Indiana state tort law regarding vicarious liability. The plaintiff in Zander...more
Shakespeare’s observation that the “past is prologue” certainly applies to corporate criminal liability in the UK and France, as these jurisdictions embrace with gusto corporate prosecutions akin to those pursued in the US...more
The federal court granted summary judgment for the City of Rocky Mount, its Police Department and detectives in a case brought against them under 42 USC §1983 where claims were asserted for malicious prosecution and false...more
In Vebr v. Culp (Filed 10/28/2015, No. G050730), the Fourth District Court of Appeal affirmed a trial court’s grant of summary judgment in favor of homeowners, where an employee of an unlicensed painting company was injured...more
In my continuing series on corporate criminal prosecutions, an important assumption for many DOJ policies and corporate counsel representation is that a company cannot survive a criminal conviction....more
You may already have read the scintillating facts surrounding a jury award of $1.44 million (recently challenged unsuccessfully on appeal) against Walgreen Co. (Walgreens) following its pharmacist’s alleged inappropriate...more
A recent decision by the Court of Appeals of Indiana reinforces the peril faced by health care employers when employees authorized to access confidential information do so for improper purposes. In Walgreen Co. v. Hinchy, the...more
AC35167 - Perugini v. Giuliano: Pro se husband sued his ex-wife’s lawyers claiming violation of the RPC and intentional infliction of emotional distress for failure to disclose the attorney’s past representation of the...more
In Moradi v. Marsh USA, Inc., the California Court of Appeal concluded that employees who are required to use their personal vehicles to travel to and from the office and make other work-related trips during the day are...more
Employers sometimes face vicarious liability for personal injury and property damage when employees use their own vehicles in connection with the performance of their job duties and get into traffic accidents. When facing...more
In Fezzani v. Bear, Stearns & Co., Inc., No. 09-4414-cv, 2013 WL 1876534 (2d Cir. May 7, 2013), a 2-1 majority of a panel of the United States Court of Appeals for the Second Circuit held that plaintiffs’ failure to plead...more
Heriberto Ceja Rodriguez sued Takeshi Oto for injuries he sustained in an automobile accident. Unbeknownst to Rodriguez, at the time of the accident, Oto was driving from an event related to his employment. (Oto was driving a...more
Tragic acts of violence have taken over our headlines and can destroy not only lives, but businesses. With the rise in reported gun violence, the numerous recent tragedies around the country and continued economic troubles...more
Title insurance companies can enforce exculpatory provisions in title insurance policies that exclude liability for tort claims based on a negligent title search performed by an agent, Maryland's highest court has ruled....more