Which Laws Apply to Broker-Dealers? Federal Laws? State Laws? Both? General Principles Leading to an Answer

TAMAR FRANKEL

BU Law emerita professor Tamar Frankel explains the law of preemption as it pertains to broker-dealers and their investor clients. She predicts, among other things, that either the clients will demand that broker-dealers adhere to a fiduciary duty, or else that states will impose that duty on them.

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Coughlin v. Stamford Fire Department

Docket: SC20319

Opinion Date: March 10, 2020

Judge: Kahn

Areas of Law: Government & Administrative Law, Labor & Employment Law, Personal Injury

The Supreme Court affirmed the decision of the Compensation Review Board, which reversed the decision of the Workers' Compensation Commissioner denying benefits to Plaintiff pursuant to Conn. Gen. Stat. 7-433c(a), holding that the Board incorrectly determined that Plaintiff's heart disease claim was untimely. The Commissioner found that Plaintiff was neither diagnosed with heart disease nor filed a claim for that disease under section 7-433c until after he had retired. Therefore, the Commissioner concluded that Plaintiff's disease and resulting disability were not suffered while Plaintiff was employed by Defendant and that even if Plaintiff was developing heart disease while he was employed by Defendant that was not sufficient to make the claim compensable. The Board reversed, concluding that it was reasonable to infer that Plaintiff's heart disease was the sequela of his accepted claim under section 7-433c for hypertension. The Supreme Court affirmed, holding (1) Plaintiff's initial claim for hypertension met the requirements of section 7-433c, was timely, and was compensable; and (2) the Board reasonably concluded that Plaintiff's heart disease was the sequela of his hypertension, which was the injury at issue in his primary claim.

Dickerson v. Stamford

Docket: SC20244

Opinion Date: March 10, 2020

Judge: Kahn

Areas of Law: Government & Administrative Law, Labor & Employment Law, Personal Injury

The Supreme Court affirmed the decision of the Compensation Review Board, which vacated the decision of the Workers' Compensation Commissioner dismissing Plaintiff's claim for benefits brought pursuant to Conn. Gen. Stat. 7-433c(a), holding that Plaintiff met the jurisdictional prerequisites of section 7-433c and that, on remand, the Commissioner shall determine whether Plaintiff's hypertension was a substantial factor in his subsequent development of heart disease. The Commissioner found that Plaintiff was not entitled to benefits for heart disease because he failed to file a notice of new claim within one year of his diagnosis. In making this finding, the Commissioner rejected Plaintiff's argument that his heart disease diagnosis was the sequela of his compensable claim for hypertension. The Board vacated the Commissioner's dismissal because the Commissioner did not present findings as to whether Plaintiff's heart disease was caused by his hypertension or constituted a new injury. The Supreme Court affirmed and remanded the case, holding (1) when a plaintiff has a compensable claim for hypertension under section 7-433c, the plaintiff may also be eligible for benefits for subsequent heart disease if his heart disease is causally related to his hypertension; and (2) Plaintiff was not required to file a notice of new claim in order to pursue benefits for his heart disease.