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  • Blog: Broker-Dealer Law CornerFINRA’s Revolving Door: Much Ado About NothingPosted on April 20, 2018 by Michael Gross
    As loyal readers are undoubtedly already aware, I used to work for NASD, and Michael more recently came to Ulmer from FINRA.  That hardly means we win every FINRA Enforcement case we are engaged to defend.  To suggest that because we came through the “revolving door,” FINRA does whatever we suggest is, frankly, absurd.  I...… Continue Reading
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  • Blog: Banking on This: Spilman Mortgage & Consumer Banking ReportIt’s in the Footnote. The WVCCPA and AmendmentsPosted on April 19, 2018 by Spilman Administrator
    The 2015 amendments to the West Virginia Consumer Credit and Protection Act (‘WVCCPA”) are not retroactive, according to a federal court in West Virginia. In O’Dell v. USAA Federal Savvngs Bank aka USAA, the court rejected a bank’s argument that the WVCCPA statute in effect at the time of trial applies. The court determined the […]
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  • Blog: Waller Law BlogOIG Offers Online Access to Compliance ResourcesPosted on April 19, 2018 by Denise D. Burke
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  • Blog: NextGen Financial Services ReportCutback of CFPB Activities Invites State Authorities to Act — But Will They?Posted on April 16, 2018 by Kyle A. Owens and Brenna E. McGee
    Amid the uncertainty over the future of the CFPB, another continuing question is whether state consumer protection authorities will act to fill gaps left by the CFPB’s inaction. State attorneys general have tools available to pursue financial services practices that they believe harm consumers, and some have announced intentions to do so. But to date,...Continue Reading…
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  • Blog: Antitrust UpdateAlabama Federal Court Will Analyze Blue Cross Blue Shield Antitrust Claims Under Per Se Standard; Defers Decision on “Single Entity” DefensePosted on April 13, 2018 by David Kleban, Jonathan H. Hatch
    A court’s decision regarding the proper standard of review in a Sherman Act Section 1 case—whether to analyze the defendant’s conduct as a per se antitrust violation or under the “rule of reason”—is highly significant.  The rule of reason requires a plaintiff to show that the anticompetitive effects of the conduct are not outweighed by [...]
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