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Finra Urges Firms To Review Their Policies And Procedures Relating To Red Flags Of Potential Fraud Involving Low Priced Securities

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FINRA recently issued Regulatory Notice 21-03 providing information to help FINRA member firms that engage in low-priced securities business assess and, as appropriate, strengthen their controls to identify and mitigate their risk, and the risk to their customers, including specified adults and seniors, of becoming involved in activities related to fraud involving low-priced securities.  FINRA…
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Finra Releases December 2020 Board Of Governors Meeting Report

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FINRA’s Board of Governors met on December 2-3, 2020, to review FINRA’s 2020 financial performance, approve the organization’s 2021 proposed budget, reaffirm FINRA’s Financial Guiding Principles, approve rule proposals, and receive several operational updates. The Board approved two rule proposals to be filed with the Securities and Exchange Commission (SEC), directing impacting our clients. As…
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Can Employers Require Employees To Receive Covid-19 Vaccination?

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The Food and Drug Administration (“FDA”) recently issued emergency use authorizations for COVID-19 vaccines. As the vaccines become widely available, more employers will consider whether to mandate vaccinations for employees. While generally employers may mandate vaccinations, there are some additional considerations with the COVID-19 vaccine. A key consideration is the Americans with Disabilities Act (“ADA”),…
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Florida Appellate Court Finds Setoff Award Was Relevant Consideration For Determining Prevailing Party Under Lien Enforcement Statute

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In Hayward Baker, Inc. v. Westfield Ins. Co., the Florida District Court of Appeal, Second District, reversed a lower court’s order denying a subcontractor’s motion for attorneys’ fees under Florida Statutes, Section 713.29.  2020 WL 7767859, at *1 (Fla. Dist. Ct. App. Dec. 30, 2020). The underlying case stemmed from construction of an addition to…
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Michigan Court Of Appeals Finds Architect Did Not Owe Project Owner A Duty Absent A Contract Or Special Relationship

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In Rochester Endoscopy and Surgery Center, LLC and Jaro Company, LLC v. DesRosiers Architects, PC, 2020 WL 6231823 (Mich. App. October 22, 2020), the Court of Appeals of Michigan granted Defendants’ Motion to Dismiss the professional negligence claims against the architect. The Rochester Plaintiffs purchased a unit in a condominium, which they intended to convert…
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United States Supreme Court Will Hear A Case Seeking Guidance On The Applicable Statute Of Limitations In A Cercla Contribution Case

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The U.S. Supreme Court has agreed to hear litigation concerning which section of the law, and their different statutes of limitations, parties must use when seeking to recoup Superfund cleanup costs.  The case, Guam v. United States, Case No. 20-382, is slated to be heard in the Court’s upcoming term. In 2017, Guam sued the…
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Southern District Of Alabama Grants With Prejudice Insurer’s Motion To Dismiss Business Owner’s Declaratory Action Seeking Coverage For Covid-Related Business Interruption

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On October 21, 2020, the Southern District of Alabama issued its first opinion addressing a COVID-19-related claim for lost income under the “business interruption” provision of an “all-risk” policy. Hillcrest Optical, Inc. v. Cont’l Cas. Co., No. 1:20-CV-275-JB-B, 2020 WL 6163142 (S.D. Ala. Oct. 21, 2020). After the plaintiff closed its business in compliance with…
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Epa Issues Guidance Memorandum On County Of Maui’s Functional Equivalent Test

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The U.S. Environmental Protection Agency (EPA) has issued a Draft Guidance Memorandum following the recent U.S. Supreme Court decision in County of Maui v. Hawaii Wildlife Fund.  139 S.Ct. 1164 (2019).  This Guidance Memo attempts to give regulators and source owners additional clarity as to when the functional equivalent test should be applied.  County of…
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California Safety Agency Imposes Covid-19 Emergency Regulations

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Throughout the past few months, COVID-19 cases have continued to rise causing several areas of concern for employers across the nation. On November 18, 2020, the California Division of Occupational Safety and Health (“Cal OSHA”) proposed emergency regulations containing new workplace protocols that provide employers with more comprehensive guidelines to adequately enforce or modify existing…
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