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Tag Archives: administrative law

Opinions – 7/23/12: 4th U.S. Circuit Court of Appeals

Administrative Law FINRA Arbitration BOTTOM LINE: As a result of significant overlap in personnel and resource utilization between a financial adviser’s former and current investment firms, the adviser’s current firm “indirectly controlled” the adviser, making them “associated persons”; therefore, the ...

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Law digest: 7/9/12

Administrative Law, Driver’s license suspension: In overturning a driver’s license suspension based on driving while intoxicated, the circuit court improperly ruled that the officer had to indicate, on the Motor Vehicle Administration form, the reasonable grounds for the underlying stop ...

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