What are the elements of a sound business succession plan? In June, the Securities and Exchange Commission (“SEC”) proposed a rule that would require registered investment advisors to adopt formal …
After a merger, which agreement controls when both companies have pre-existing contracts with a common third party? In May 2016, Stamford-based Charter Communications Inc. (“Charter”) completed its acquisition of Time …
This blog will address many aspects of arbitration, including the pros and cons of this alternative dispute resolution mechanism. This installment will look at the difficulties the losing party has …
What are the ramifications of the new fiduciary rule? Earlier this year, the Department of Labor unveiled a new fiduciary standard regulation that will require financial advisors who provide investment …
What are the consequences of submitting inaccurate trade data to the SEC and FINRA? Investment banks and securities firms are well aware of their responsibilities to adhere to the rules …
In today’s digital world, it is not uncommon for individuals and businesses to memorialize the terms of their oral agreements through email. But are such agreements enforceable? The answer depends …
On June 22, 2016, the Department of Justice (“DOJ”) filed a Notice of Supplemental Authority in U.S. ex rel. Westrick v. Second Chance Body Armor, et al., No. 04-0280 (D.D.C.), …
Summary On June 16, 2016, the U.S. Supreme Court decided Universal Health Services, Inc. v. United States ex rel. Escobar, a Medicaid case involving the “implied certification” theory of liability …
Like most states in the country, New York is considered to be an “employment at will” state. This means that if there is no written agreement between the employer and …
What are the requirements to obtain a monetary award under the SEC Whistleblower Program? In June, the Securities and Exchange Commission (“SEC”) announced its second largest whistleblower award of more …
