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Adobe PDFEveryone Can Find Reasons to Give Thanks for 2013 California Coverage Opinions
Louis H. Castoria; Wilson Elser Moskowitz Edelman & Dicker LLP;
Legal Alert/Article
November 28, 2013, previously published on November 27, 2013
Thanksgiving is one day when the whole family gets together and sets aside petty differences to give thanks to the Almighty for the bounty we enjoy.

 

HTMLInsurers Lose Defense Reimbursement Battle in Washington State
Louis H. Castoria; Wilson Elser Moskowitz Edelman & Dicker LLP;
Legal Alert/Article
March 28, 2013, previously published on March 22, 2013
It’s cynically said that no good deed goes unpunished. The Washington State Supreme Court seems to agree when it comes to insurers’ reservations of rights to seek reimbursement of fees and costs they have paid for the defense of claims that later prove not to be afforded coverage.

 

HTMLFINRA Dispute Resolution Opening to RIAs
Benjamin J. Biard, Louis H. Castoria, Stefan R. Dandelles, Fred N. Knopf, Ami Shah; Wilson Elser Moskowitz Edelman & Dicker LLP;
Legal Alert/Article
November 9, 2012, previously published on November 5, 2012
Linda Fienberg, President of FINRA Dispute Resolution, recently announced that, after numerous requests, FINRA Dispute Resolution is now an alternative dispute resolution forum available to registered investment advisers (RIAs) and their clients. According to Fienberg, this decision will provide...

 

HTMLUrgency of Filing Actions for Contributions
Louis H. Castoria, Edward P. Garson; Wilson Elser Moskowitz Edelman & Dicker LLP;
Legal Alert/Article
January 16, 2012, previously published on January 10, 2011
Recently, in American States Insurance Company v. National Fire Insurance Company of Hartford (December 14, 2012) 12 C.D.O.S. 320, the California Court of Appeal held that an insurer with responsibility to cover some portion of the loss suffered by the insured has no legal right to equitable...

 

HTMLCalifornia Court of Appeal: Right to Independent Counsel Is Not a Blank Check
Louis H. Castoria; Wilson Elser Moskowitz Edelman & Dicker LLP;
Legal Alert/Article
August 8, 2011, previously published on August 2011
Does a liability insurer, in accepting the insured’s chosen independent counsel, retain the right to refuse to pay excessive fees charged by that counsel? In a decision published August 1, 2011, the California Court of Appeal, Fourth Appellate District, ruled that independent counsel,...

 

HTMLSupreme Court Limits Rule 10b-5 Liability to Actual “Makers” of Allegedly Misleading Statements - Perhaps Not the Fraud Shield Predicted by Some
Louis H. Castoria, Sheena Jain, William J. Kelly, H. Steven Vogel; Wilson Elser Moskowitz Edelman & Dicker LLP;
Legal Alert/Article
July 21, 2011, previously published on July 2011
Many view the United States Supreme Court’s recent Janus Capital Group decision as drastically limiting the pool of potential defendants in federal securities fraud claims, but some of the champagne bottles should stay corked for now.

 

HTMLCPA Portability: Important Changes to California's Licensing Requirements
Louis H. Castoria, Peter J. Larkin; Wilson Elser Moskowitz Edelman & Dicker LLP;
Legal Alert/Article
January 31, 2011, previously published on January 2011
On January 1, 2011, the exception to state licensing requirements for “temporary and incidental” accounting practice within the Golden State was eliminated. Practice Privilege Notifications, with the attendant fees, must now be filed with the California Board of Accountancy (CBA) for...

 

HTMLUtah Advises Brokers to Follow State Law in FINRA Arbitrations
Louis H. Castoria; Wilson Elser Moskowitz Edelman & Dicker LLP;
Legal Alert/Article
March 3, 2010, previously published on February 2010
What law governs disputes that are subject to binding arbitration in the Financial Industry Regulatory Authority (FINRA)? The State of Utah has advised securities broker-dealers doing business there that they expect FINRA arbitrators to apply Utah’s Uniform Securities Act in deciding issues...

 

Adobe PDFFirms Must Comply With FTC "Red Flags" Data Protection Rule, Starting November 1, 2009
Louis H. Castoria, Josh M. Kantrow, Lori S. Nugent; Wilson Elser Moskowitz Edelman & Dicker LLP;
Legal Alert/Article
November 10, 2009, previously published on October 2009
The Federal Trade Commission's "Red Flags" Rule is designed to protect personally identifiable information from data thieves. Insurance brokerage firms and other service providers that receive payment after their services have been delivered are required to comply. The compliance deadline...

 

Adobe PDFNYSE and NASD -- Do They Have the Urge To Merge?
Louis H. Castoria; Wilson Elser Moskowitz Edelman & Dicker LLP;
Legal Alert/Article
November 28, 2006, previously published on November 2006
The New York Stock Exchange (NYSE) and the National Association of Securities Dealers (NASD) may soon be combining to form a single self-regulating organization (SRO) for the U.S. securities industry. The regulatory streamlining could happen if Securities and Exchange Commission Chairman...