Regulators Hit Jackpot: Off-Channel Communications -
Several years before announcing the first “off-channel” communications enforcement action, the SEC and FINRA cautioned broker-dealers and investment advisers about...more
10/11/2023
/ Annuities ,
Artificial Intelligence ,
Best Interest Standard ,
Breach of Contract ,
Class Action ,
COBRA ,
Consumer Financial Products ,
Consumer Insurance Products ,
Employee Benefits ,
Employee Retirement Income Security Act (ERISA) ,
Employment Litigation ,
Federal Arbitration Act ,
Financial Contracts ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Services Industry ,
Health Insurance ,
Insider Trading ,
Insurance Fraud ,
Insurance Litigation ,
Insurance Regulations ,
Interlocutory Appeals ,
Investment Management ,
Life Insurance ,
Money Market Funds ,
Mutual Funds ,
NAIC ,
NLRA ,
NLRB ,
No-Action Letters ,
Non-Compete Agreements ,
NYDFS ,
Regulatory Requirements ,
Retirement ,
Robocalling ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
State and Local Government ,
Wage and Hour
The U.S. Supreme Court’s June 2023 decision in Coinbase Inc. v. Bielski requires that district court litigation in any matter remain in the starting gate while any appeal from a denial of a motion to compel arbitration in...more
10/9/2023
/ Appeals ,
Arbitration ,
Arbitration Agreements ,
Class Action ,
Coinbase ,
Coinbase Inc v Bielski ,
Consumer Financial Products ,
Federal Arbitration Act ,
Financial Contracts ,
Financial Services Industry ,
Griggs v Provident Disc Co ,
Interlocutory Appeals ,
SCOTUS
The 2023 Carlton Fields Class Action Survey provides an overview of important issues and practices related to class action matters and management. The annual publication reports on historical trends captured since the...more
Two companion amendments to the California insurance law have received increased attention from the plaintiffs’ bar recently. On January 1, 2013, sections 10113.71 and 10113.72 were enacted to amend the California Insurance...more
Life insurers bid farewell to a fairly moderate year of class action litigation. Although several class actions were filed against life insurers in the last quarter of 2019, the filings were reflective of the litigation...more
The Ninth Circuit, in back-to-back opinion and memorandum decisions in Dorman v. Charles Schwab Corp., overruled long-standing precedent that ERISA claims are not arbitrable. The plaintiff, a former Schwab employee, filed a...more
10/10/2019
/ 401k ,
Affiliated-Business Arrangements ,
Arbitration ,
Arbitration Agreements ,
Arbitration Procedural Rules ,
Breach of Duty ,
Charles Schwab ,
Class Action ,
Class Action Arbitration Waivers ,
Contract Terms ,
Defined Contribution Plans ,
Employee Benefits ,
Employee Retirement Income Security Act (ERISA) ,
Fiduciary Duty ,
Interlocutory Appeals ,
Investment Funds ,
Motion to Compel ,
Retirement Plan
May 21, 2019, marks the one-year anniversary of the U.S. Supreme Court’s decision in Epic Systems Corp. v. Lewis, which upheld the use of class action waivers in employee arbitration agreements....more
7/23/2019
/ Arbitration ,
Arbitration Agreements ,
Class Action ,
Class Action Arbitration Waivers ,
Corporate Counsel ,
Epic Systems Corp v Lewis ,
Fair Labor Standards Act (FLSA) ,
Federal Arbitration Act ,
Life Insurance ,
NLRA ,
NLRB ,
Securities
EXPECTFOCUS® is a quarterly review of developments in the insurance and financial services industry, provided on a complimentary basis to clients and friends of Carlton Fields Jorden Burt, P.A.
...more
5/1/2018
/ Best Interest Contract Exemptions ,
Best Interest Standard ,
CAFA ,
Class Action ,
COI Rates ,
Corporate Governance ,
Cryptocurrency ,
Cybersecurity ,
Data Breach ,
Disclosure Requirements ,
Elder Abuse ,
Failure To Pay ,
Fiduciary Rule ,
Life Insurance ,
NAIC ,
Securities and Exchange Commission (SEC) ,
Statute of Limitations ,
TCPA