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Breach of Contract › Broker-Dealer

Bradley Arant Boult Cummings LLP

Fourth Circuit Narrows Broker Protocol “Raiding” Exception, Enforces Employment Agreements in Wealth Management Dispute

Bradley Arant Boult Cummings LLP on

On August 12, 2025, the U.S. Court of Appeals for the Fourth Circuit issued its decision in Salomon & Ludwin, LLC v. Winters, a significant case at the intersection of financial advisor mobility, the Broker Protocol, and...more

Moore & Van Allen PLLC

Insurance contours clarified: agency relationships in premium financing

Moore & Van Allen PLLC on

Today’s insurance professionals and legal practitioners know that the insurance market can be unpredictable and volatile. With external factors such as natural disasters, war, cyberattacks, and economic uncertainties,...more

Carlton Fields

Class Certification Denied in Suitability Class Action

Carlton Fields on

The Southern District of New York recently declined to certify a class in a suit relating to investments in certain closed-end mutual funds, holding that individual questions overwhelmed the class-wide questions in...more

Vedder Price

Investment Services Regulatory Update - September 2017

Vedder Price on

Market and Product Developments - Securities Industry Implements T+2 Settlement Cycle - On September 5, 2017, the securities industry transitioned to a shorter settlement cycle for most broker-dealer securities...more

Burr & Forman

DOL Hearings Debate “Fiduciary Duty” not “Suitability” Standard for Retirement Accounts

Burr & Forman on

The U.S. Department of Labor (“DOL“) recently heard public comment to its proposed regulatory changes implementing a fiduciary duty on any individual receiving compensation for advice tailored to a plan sponsor, participant...more

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