Latest Case: Hand v. State (Criminal Law)

The Clients’ Waiver of Their Rights Under Regulation BI of the Securities and Exchange Commission

TAMAR FRANKEL

BU Law emerita professor Tamar Frankel discusses the Securities and Exchange Commission (SEC)’s Regulation Best Interest (BI), which imposes on broker-dealers a commitment to act in the best interests of their clients. Specifically, Frankel addresses the SEC’s treatment of client waivers of the Regulation BI, which goes even further than general fiduciary law to prohibit any waiver of the broker-dealer’s conflicting interests.

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Hand v. State

Citation: 2020 UT 8

Opinion Date: February 19, 2020

Judge: Thomas R. Lee

Areas of Law: Criminal Law

The Supreme Court reversed the judgment of the district court dismissing Appellant's claim brought under the Post-Conviction Remedies Act (PCRA), holding that, contrary to the conclusions of the district court, Appellant's petition was not barred because his initial petition did not count as a "previous request for post-conviction relief" under Utah Code 78B-9-106(1)(d). In 2013, Appellant was convicted of aggravated sexual abuse of a minor. In 2017, Appellant submitted a petition in the Second District Court of Utah seeking to challenge his conviction. Appellant subsequently withdrew his petition under Utah R. Civ. P. 41(a)(1)(A). Later, Appellant filed a new petition in the Second District Court. The district court dismissed the petition, concluding that it was procedurally barred because it asserted claims that were, or could have been, raised or addressed in a previous request for post-conviction relief. The Supreme Court reversed, holding that there is no "previous request for post-conviction relief" where the action was initiated but voluntarily dismissed under Rule 41(a)(1)(A).