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October 1, 2018

Elizabeth C. Lyons Named Emerging Lawyer™ for Second Year

Our esteemed colleague and Associate Attorney, Elizabeth “Liz” C. Lyons, was recently recognized as an Emerging Lawyer™ in Commercial Litigation by Law Bulletin Media’s Leading Lawyers division. With this distinction, Liz joins the top two percent of all attorneys licensed to practice law in the State of Illinois who are recognized for having proven themselves […]

September 10, 2018

When Does the Broker Protocol Supersede a Notice Provision in a Financial Adviser’s Employment Contract?

An enduring gray area in the Protocol for Broker Recruiting, dating back to 2004, has been whether and to what extent the Protocol preempts a notice provision of an adviser’s employment contract. In HA&W Capital Partners, LLC v. Bhandari, the Georgia Court of Appeals was tasked with deciding the Protocol’s impact on notice…

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August 27, 2018

Illinois Appellate Court Extends Common Interest Doctrine

The Appellate Court for the Second District of Illinois recently expanded the reach of Illinois’ “common interest” doctrine in a professional negligence case against an insurance broker. In The Robert R. McCormick Foundation v. Arthur J. Gallagher Risk Management Services, Inc., 2018 IL App (2d) 170939 (July 20, 2018), the Court held that…

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July 1, 2018

Recent Enforcement Orders Remind FCMs: Train Your Brokers on Post- Execution Allocation Rules.

On May 29, 2018, the CFTC and NFA1, respectively, issued enforcement decisions against Chicago-based Xchange Financial Access, LLC (“XFA”) that should serve as a cautionary tale for Futures Commission Merchants, and other registrants, about the importance of training, updating supervisory procedures, and appropriately maintaining records. According to the regulators, XFA failed to supervise…

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July 1, 2018

With the Imminent Rollout of the New AML Rules, Compliance Training is Key

The new AML rules significantly expand the obligations of FCMs and IBs when taking in new clients, opening new accounts for existing clients, and even updating the information on existing clients’ existing accounts – through the Customer Due Diligence (CDD) requirements for financial institutions. The new rules make two major changes to the…

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July 1, 2018

Avoiding Death Taxes and Income Taxes, Too

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April 1, 2018

Illinois Distributor’s Statute: Navigating the Litigation “Off Ramp” for Non-Manufacturer Defendants After Cassidy v. China Vitamins LLC

In Cassidy v. China Vitamins LLC, 2017 IL App (1st) 160933 (“China Vitamins”), the First District Appellate Court made it a lot harder for non-manufacturers to free themselves from litigation through the Illinois Distributor’s statute (sometimes referred to as the “innocent seller’s statute” or “seller’s exception”). Under China Vitamins’ new interpretation of the…

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March 9, 2018

Objects in the Mirror May be Closer Than They Appear: Why Estate Taxes Still Matter

The Tax Cuts and Jobs Act of 2017 (the “Tax Act”) has reduced the federal estate taxes to the point that such taxes currently affect a very small percentage of U.S. citizens and residents. Nevertheless, many individuals and families are still affected by State estate and inheritance taxes, which typically apply to individuals…

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March 1, 2018

Equity Indexed and Variable Annuities: What are the Limitations of a State Securities Regulator’s Authority Over Their Sales Practices? (The ABA Blue Sky Bugle Newsletter, March 2018)

Two Illinois cases, Van Dyke v. Jesse White, 2016 IL App (4th) 141109 (currently pending before the Illinois Supreme Court as Docket No. 121452) and Thrivent Investment Management v. Illinois Securities Department, Circuit Court of Cook County Case No. 2016-CH-16406 (currently pending before the First District Appellate…

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February 1, 2018
Consider Yourself Warned: Evolution and Future of the Post-Sale Duty

The post-sale duty to warn has been the subject of intense debate ever since it was included in the Restatement (Third) of Torts: Products Liability (1997) (hereinafter “Third Restatement”). This article provides an overview of the history and nature of the post-sale duty, summarizes some of the challenges it creates for practitioners, seeks…

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