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Carlton Fields
 
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By Nora Valenza-Frost
A Texas federal court determined that, pursuant to the parties' contract, the dispute was not arbitrable because the plain language of the arbitration clause expressly excluded suits that involved requests for injunctive relief, ...
By John Pitblado
Limiting its ruling to the certified question before it, the Court did not analyze the issue further to determine the ultimate outcome. Rather, the case now reverts back to the Second Circuit, given this guidance.
By Carlton Fields
Week of January 8 - 12, 2018
By Jason R. Brost
In a case emphasizing the deference courts give to factual findings of arbitrators, a magistrate judge in the Eastern District of New York has confirmed an arbitration award granting damages...
By Ricardo Rozen, Gary Pappas
The Third Circuit Court of Appeals affirmed a Pennsylvania district court decision holding the Eleventh Amendment to the United States Constitution prevented a private party from enjoining the state of Louisiana...
By Thaddeus Ewald
The various parties disputed which state's law applied. The court ultimately denied the motion, holding the mandatory arbitration provision was unenforceable.
By Gail Jankowski
In August, Kevin Kelcourse, the associate director for examinations at the SEC's Boston Regional Office, confirmed that his office has been making "surprise" examination visits to registered advisers in the region.
By Gary Cohen
The report's numerous recommendations include the following steps that the SEC could take to "reduce regulatory costs and improve consumer disclosure": ...
By Josephine Cicchetti, Christine Stoddard
This article is the first in a series discussing the regulatory issues impacting InsurTech.
By Laura M. Wall
Many federal, state, and local governmental employees may be eligible for awards pursuant to the SEC's whistleblower program under the Dodd-Frank Act.
By Ethan Horwitz, Alex B. Silverman
A major study recently emerged regarding insurance industry brands.
By Steven Kass
Other provisions of the Regulation present a spectrum of possible required compliance deadlines.
By Ann Young Black, Jamie Bigayer, Adriana A. Perez
The Proposed Suitability and Best Interest Standard of Conduct in Annuity Transactions Model Regulation.
By Thaddeus Ewald
On December 7, the Investor Advisory Committee of the SEC adopted a recommendation that the SEC seriously explore the development of a summary disclosure document for mutual fund companies ...
By Ann Young Black, Jamie Bigayer, Adriana A. Perez
We may yet encounter a regulatory headstone or two before we wake to enjoy all the benefits that big data and algorithmic tools may bring.
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