by Wiggin and Dana LLP | Sep 15, 2019
In August 2013, the Third Circuit Court of Appeals issued two opinions reversing district court certification of consumer classes because the plaintiffs in each case had failed to present a viable way of demonstrating that each proposed class member had purchased the...
by Wiggin and Dana LLP | Sep 15, 2019
At the recent IAWatch fall conference in Philadelphia, Pa., Mark Dowdell, Assistant Regional Director in the SEC’s Philadelphia Office of Compliance Inspections and Examinations (“OCIE”), provided a preview of the SEC’s examination priorities...
by Wiggin and Dana LLP | Sep 15, 2019
Recent decisions from the United States District Court for the Southern District of New York and the Connecticut Appellate Court revisit a familiar yet sometimes perplexing question: Am I transacting in “goods” under the Uniform Commercial Code...
by Wiggin and Dana LLP | Sep 15, 2019
The SEC’s Division of Trading and Markets issued guidance on Monday in the form of FAQs addressing concerns about failure-to-supervise charges being brought against broker-dealer compliance and legal personnel. Under Section 15(b)(6) of the Exchange Act, the...
by Wiggin and Dana LLP | Sep 15, 2019
On October 1, 2013, the Department of Labor published its Final Rule, made effective January 1, 2015, eliminating the application of the “companionship exemption” to employees employed by home care agencies and other companies. Consequently, the minimum...
