United States v. Connolly: District Court Scrutinizes Longtime Corporate Practices for Internal Investigations

By Randall R. Lee and Michael J. Berkovits – August 30, 2019 | The decision marks the first time that a court has held that when a corporation works closely with regulators, the corporation is effectively acting as an agent of the government.

2019 Midyear Update on Senior and Vulnerable Investor Legislation

By Lawrence E. Fenster and Daniel Strashun – August 30, 2019 | States are increasingly providing firms with more effective options for fighting financial exploitation of senior and vulnerable investors.

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Practice Points

Second Circuit Creates Split on Investment Company Act Private Right of Action

By Gabriel Gillett and Howard Suskin – August 6, 2019 | We will have to wait and see how other courts may weigh in, and whether or not the Supreme Court will ultimately resolve the split.

Eighth Circuit Reminds: The First Principle of Arbitration Is Get Consent

By Gabriel Gillett – August 5, 2019 | The court held an employment agreement’s arbitration clause was unenforceable as there was no evidence the employee had assented to the agreement.

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SEC Speaks 2019

By Matthew P. Allen | May 10, 2019 | In this podcast, Matthew P. Allen gives a summary of the SEC Enforcement Panel discussion from the 2019 SEC Speaks annual conference.

When Does the FINRA Code Require Arbitration of Customer Claims?

By Peter Tepley – February 11, 2019 | This program discusses FINRA Rule 12200 and the Eleventh Circuit's decision in Pictet Overseas, Inc. v. Helvetia Trust, 905 F.3rd 1183 (11th Cir. 2018) interpreting that rule. In particular, it focuses on the court's analysis of when does a customer dispute with a FINRA Member or Associated person arise in connection with the business activities of the associated person so as to require that the dispute be arbitrated under the FINRA Code of Arbitration procedure. It also briefly discusses the holdings in two other cases dealing with similar issues.

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