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Finra Requests Comment On Proposed Rule 4111 Imposing Additional Obligations On Firms With A Significant History Of Misconduct

Practice Area: infomedia

Finra Requests Comment On Proposed Rule 4111 Imposing Additional Obligations On Firms With A Significant History Of Misconduct

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FINRA is requesting comment on proposed Rule 4111 (Restricted Firm Obligations) that would impose obligations, including financial requirements, on designated member firms that cross specified numeric disclosure-event thresholds. FINRA believes that the proposal would promote investor protection and market integrity and provide another tool to incentivize broker dealers to comply with regulatory requirements and to…
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California Jury Awards 2 Billion In Favor Of Couple In Roundup Cancer Trial

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A California jury has awarded a $2.055 billion verdict in favor of a California couple, finding Monsanto’s product Roundup likely caused the couple’s cancer.  Pilliod v. Monsanto Co., Case No. RG-1786272 (Cal. Super. Ct., Alameda Division).  This is Bayer AG’s third consecutive Roundup trial loss since mid-2018 in cases involving claims the product caused cancer….
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Middle District Of Florida Finds That The Florida Deceptive Trade And Unfair Practices Act Protects General Contractors, Not Just Consumers

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In Continental 332 Fund, LLC, et al. v. Albertelli Construction Inc., et al., the Middle District of Florida analyzed Albertelli Construction, Inc.’s (“Albertelli”) claims against third-party defendant Continental Properties Company, Inc. (“Continental”) 2019 WL 2009369 (M.D. Fla. 2019). General contractor Albertelli filed third-party claims against Continental, one of which alleged a violation of the Florida…
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Trial Court Not Bound By Impairment Ratings Assigned By Treating Physician

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In Tuscaloosa County v. Beville, 28 ALW 170-3 (2171022), 4/19/2019, Employee Chaka Beville (“Beville”) slipped and fell while working in the course and scope of her employment at the Tuscaloosa County jail in 2014, injuring her left wrist.  She was treated by her authorized treating physician, Dr. Buckley, who performed surgery and later ordered a…
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Attorneys From Lgwm Support Cahaba Valley Heath Care See More Smiles Banquet

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Attorneys from LGWM’s Birmingham office attended Cahaba Valley Health Care’s annual See More Smiles Fundraising Breakfast. LGWM’s Brittany Herring serves as a board member for Cahaba Valley Health Care.  The organization provides free dental and vision services for low-income individuals in Jefferson and Shelby Counties. Taffi Stewart, Sarah Redmond and Hannah Stokes also attended the…
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Supreme Court Of Alabama Finds That An Arbitrator Has Power To Determine Location Of Arbitration Proceeding Between Contractors From Different States

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In Alliance Investment Company, LLC v. Omni Construction Company, Inc., the Alabama Supreme Court was faced with analyzing who has the power to determine the location of an arbitration proceeding –the arbitrator or the Madison Circuit Court. 2019 WL 1219416 (Ala. 2019). In 2015, KPS, LLC (“Kroger”) entered into a contract (the “prime contract”) with…
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Finra Issues Guidance On Communications With Customers Regarding Departing Registered Representatives

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FINRA recently issued Regulatory Notice 19-10 presenting FINRA’s policy and guidance on how broker dealer firms should guarantee all communications with customers be fair, balanced, and not misleading, as required by FINRA Rule 2210, in the event of a registered representative’s departure. The Notice states that when faced with the departure of a representative, firms…
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