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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State v. Ceplecha

Citation: 2020 S.D. 11

Opinion Date: March 4, 2020

Judge: Kern

Areas of Law: Civil Rights, Constitutional Law, Criminal Law

The Supreme Court affirmed Defendants' convictions of first-degree manslaughter and sentences of life imprisonment, holding that the circuit court did not err or abuse its discretion in either case. Daniel Ceplecha and his son, Rangler Ceplecha, each pled guilty to first-degree manslaughter pursuant to a plea agreement. Prior to sentencing, Defendants filed motions to withdraw their pleas, asserting that they acted in self-defense. The circuit court denied the motions. Thereafter, the circuit court sentenced each defendant to life in prison. The Supreme Court affirmed, that the circuit court (1) did not abuse its discretion in denying Rangler's motion for new counsel because he failed to establish a fair and just reason in support of his request; (2) did not abuse its discretion by denying Defendants' motions to withdraw their guilty pleas; and (3) did not abuse its discretion or violate the Eighth Amendment by imposing life sentences.

Abdulrazzak v. South Dakota Board of Pardons & Paroles

Citation: 2020 S.D. 10

Opinion Date: March 4, 2020

Judges: Salter, Glen A. Severson

Areas of Law: Criminal Law, Government & Administrative Law

The Supreme Court affirmed the order of the circuit court dismissing as untimely Appellant's appeal of an order of the Board of Pardons and Paroles revoking Appellant's parole, holding that the circuit court did not err. Thirty-four days after the Board entered an amended order revoking Appellant's parole the clerk of court received and filed Appellant's pro se notice of appeal. The Board filed a motion to dismiss the appeal for lack of jurisdiction, claiming it was untimely. The circuit court dismissed the appeal for lack of jurisdiction. The Supreme Court affirmed, holding that the circuit court (1) did not err when it dismissed as untimely Appellant's appeal of the Board's decision revoking Appellant's parole; and (2) did not abuse its discretion by denying Appellant's request for a standby attorney at the hearing on the motion to dismiss his appeal.