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 ,
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Insurance Litigation ,
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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
In a 5–4 decision issued June 23, 2023, in Coinbase Inc. v. Bielski, the U.S. Supreme Court resolved a circuit split over whether trial courts have the discretion to stay proceedings pending interlocutory appeal from a denial...more
6/27/2023
/ Arbitration ,
Arbitration Agreements ,
Automatic Stay ,
Coinbase ,
Coinbase Inc v Bielski ,
Cryptocurrency ,
Federal Arbitration Act ,
Griggs v Provident Disc Co ,
Interlocutory Appeals ,
Motion to Compel ,
SCOTUS ,
Stays