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The Securities and Exchange Commission (“SEC”) has moved into a new area of broker-dealer enforcement relating to suitability of securities transactions. Historically, SEC enforcement of broker-dealer misconduct involving suitability of trades centered on violations of Section 10(b) of the Securities Exchange Act of 1934 (“the Exchange Act”). Indeed, for decades, the SEC did not bring […]Read More
The U.S. Supreme Court issued its highly anticipated opinion in Viking River Cruises, Inc. v. Moriana on June 15, 2022, finding that the Federal Arbitration Act preempts portions of California’s PAGA statute. In an 8 to 1 ruling, the Court reasoned that claims brought under the California Private Attorneys General Act (“PAGA”) can be split […]Read More