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HTMLMaine Securities Regulator Testifies Before U.S. Senate Committee on Aging; Touts Success of Maine Program to Combat Senior Financial Exploitation
John J. Cronan, Sigmund D. Schutz; Preti, Flaherty, Beliveau & Pachios, LLP;
Legal Alert/Article
March 26, 2015, previously published on February 26, 2015
As the North American Securities Administrators Association (NASAA) reports, on February 4, 2015 Maine Securities Administrator Judith Shaw testified before the U.S. Special Committee on Aging. Shaw emphasized the difficulty in addressing senior financial exploitation, noting that many elderly...

 

HTMLCrowdfunding -- Less Useful and More Risky?
John J. Cronan, Sigmund D. Schutz; Preti, Flaherty, Beliveau & Pachios, LLP;
Legal Alert/Article
March 26, 2015, previously published on January 30, 2015
It's great that Maine and about fifteen other States are making it easier for startups to raise money by authorizing crowdfunding -- an online money-raising strategy that may be a way of assisting small businesses and start-ups looking for investment capital to get their ventures off the ground.

 

HTMLInvestors Should be Wary of "Happiness Letters"
John J. Cronan, Sigmund D. Schutz; Preti, Flaherty, Beliveau & Pachios, LLP;
Legal Alert/Article
March 26, 2015, previously published on January 9, 2015
As the Wall Street Journal's Jason Zweig recently cautioned, "If you get a 'happiness letter' from your brokerage firm . . . be worried."

 

HTMLBeware of Misleading Financial Advisor Credentials
John J. Cronan, Sigmund D. Schutz; Preti, Flaherty, Beliveau & Pachios, LLP;
Legal Alert/Article
March 26, 2015, previously published on January 12, 2015
What is an investor to make of the alphabet soup list of privately run credentialing organizations issuing credentials to financial advisors? One of the most reputable ones, the Certified Financial Planner (CFP) Board, cautions that "accredited," "chartered,"...

 

HTMLWhite House: "Conflicted Advice Leads to Large and Economically Meaningful Costs for Americans' Retirement Savings."
John J. Cronan, Sigmund D. Schutz; Preti, Flaherty, Beliveau & Pachios, LLP;
Legal Alert/Article
March 26, 2015, previously published on March 2, 2015
In a report issued in February 2015 the White House concluded that conflicted investment advice harms investors to the tune of billions of dollars. The White House estimates losses at between $8 billion and $17 billion or between 1 percent and 0.5 percent of the $1.7 trillion dollars of IRA assets...

 

HTMLPrivate Placements: Retail Broker-Dealers Shape Terms of Placements to Sell More of Them
John J. Cronan, Sigmund D. Schutz; Preti, Flaherty, Beliveau & Pachios, LLP;
Legal Alert/Article
March 26, 2015, previously published on January 5, 2015
A recent Reuters special report shines light on an "increasingly common" practice among broker-dealers of changing -- and shaping -- the terms of private placements they sell. The report highlights several points:

 

HTMLArbitration Award Stands Despite Apparent Error of Law
Stanley A. Martin; Duane Morris LLP;
Legal Alert/Article
March 25, 2015, previously published on March 12, 2015
A federal appellate court has reminded the business community that a mistake of law by an arbitration panel will not ordinarily be grounds to overturn the award. The arbitration concerned a terminated financial services consultant, who filed for arbitration almost two years after the termination....

 

HTMLSummary Judgment Applications in Alberta: Court of Appeal Indicates Appeals from Denials Will Be Difficult to Establish
Melissa D. Tennison; DLA Piper (Canada) LLP;
Legal Alert/Article
March 24, 2015, previously published on March 19, 2015
The Alberta Court of Appeal in its recent decision, 776826 Alberta Ltd. v. Ostrowercha, 2015 ABCA 49, discussed the recent changes to the direction of the law on summary judgment applications. It confirmed that the decision of the Trial Judge as to whether or not summary judgment is a fair and...

 

HTMLLance Armstrong’s Perjured Doping Testimony Earns Him a $10 Million Sanction in Arbitration
Haley Fowler Gregory; Butler Snow LLP;
Legal Alert/Article
March 24, 2015, previously published on March 17, 2015
Recently, Lance Armstrong attracted national attention when an arbitration panel in Texas ordered him to pay $10 million in sanctions to a promotions company for lying about his use of performance-enhancing drugs to win the 2004 Tour de France. Sanctions, especially of this type and magnitude, are...

 

HTMLBritish Columbia's Pioneering Civil Resolution Tribunal
Barbara Murray, Talya Nemetz-Sinchein; Singleton Urquhart LLP;
Legal Alert/Article
March 20, 2015, previously published on January 5, 2015
In 2015, British Columbia will introduce a Civil Resolution Tribunal (CRT), the first on-line dispute resolution and adjudicative body in Canada. The CRT is designed to transform civil and administrative dispute resolution in B.C. from the current system to, as the provincial government’s...

 


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