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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Rasmy v. Marriott International, Inc.

Docket: 18-3260

Opinion Date: March 6, 2020

Judge: Jose A. Cabranes

Areas of Law: Labor & Employment Law

The Second Circuit vacated the district court's summary judgment dismissal of plaintiff's claims brought under Title VII of the Civil Rights Act of 1964 and 42 U.S.C. 1981, alleging a discriminatory hostile work environment and retaliation for complaining about discrimination. In this case, defendant alleged that employees retaliated against him for reporting possible overcharging at his job and that employees made inflammatory remarks regarding his Egyptian heritage and his Coptic Christian religion. Plaintiff was terminated by Marriott shortly after a physical altercation with another employee. The court held that a hostile work environment claim does not require a plaintiff to show that he or she had been physically threatened by the defendant or that his or her work performance has suffered as a result of the claimed hostile work environment; discriminatory conduct not directly targeted at the plaintiff can contribute to an actionable hostile work environment; and dismissal of plaintiff's retaliation claim by summary judgment was improper because plaintiff's submission in opposition to the motion presented disputed issues of material fact that should be resolved by a jury.