Publications
Non-lawyer may not represent party before FINRA in securities arbitration.
A non-lawyer's representation of a party to a securities arbitration proceeding in Illinois constitutes the unauthorized practice of law.
Case Law Alerts - 2nd Quarter 2013
FINRA hearing panel rules Schwab can ban client class action suits.
A Financial Industry Regulatory Authority hearing panel ruled that Charles Schwab can prohibit its customers from bringing class action lawsuits.
Case Law Alerts - 2nd Quarter 2013
SEC v. Gabelli reversed on discovery rule grounds.
The U.S. Supreme Court rejected the SEC's argument that an agency should be entitled to the protection of the Discovery Rule in an enforcement action seeking a civil penalty for an alleged act of fraud.
Case Law Alerts - 2nd Quarter 2013
Defense verdict in FINRA arbitration.
The respondents were represented by Denis Dice and Joel Wertman of Marshall Dennehey Warner Coleman & Goggin in a claim where the claimant sought damages for an alleged unsuitable recommendation of a variable annuity for the claimant's IRA
Case Law Alerts - 2nd Quarter 2013
District Court in 2nd Circuit rejects broad interpretation of Computer Fraud and Abuse Act.
Although primarily a criminal anti-hacking statute, the Computer Fraud and Abuse Act, 18 U.S. C. § 1030, et seq. (“CFAA”) also provides for certain civil causes of action.
The employer is not excused from bringing its fact witnesses to a hearing for live testimony where the excuse offered is that they must travel from Pittsburg, PA to Delaware.
This case involved a motion presented by the employer to the Board seeking permission for two of its fact witnesses to testify telephonically at the upcoming Board hearing rather than appearing live.
Case Law Alerts - 2nd Quarter 2013
The Board denies the employer's request for a credit against the claimant's future medical benefits based on its having paid a lien for child support arrears against the claimant.
This case came before the Board on a rule to show cause filed by the employer who asserted a credit against the claimant's future medical benefits. The claimant was pro se and was actually not present at the legal hearing.
Case Law Alerts - 2nd Quarter 2013
The Supreme Court affirms the granting of a termination petition by the Board, concluding that the employer did not need to show a change in the claimant's physical condition to meet its burden of proof.
This case involved an appeal on the issue of what exactly is the employer's burden of proof in a termination petition.
Case Law Alerts - 2nd Quarter 2013
Despite undisputed medical evidence that claimant could do modified work, the Board denied employer's termination petition based on a finding that claimant, who had an eighth grade education and had only worked as a housekeeper, was a displaced worker
The claimant sustained a compensable work injury to her low back on October 8, 2004, and began receiving compensation for temporary total disability.
Case Law Alerts - 2nd Quarter 2013
Appellate Division dismisses carrier's appeal to deny workers' compensation coverage based on a finding of invalid cancellation of policy.
The petitioner was employed by the respondent, a subcontractor on a project for the General Contractor (GC). On November 29, 2007, the petitioner fell and injured himself at work.
Case Law Alerts - 2nd Quarter 2013