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.

Read More

United States v. Mason

Docket: 18-3056

Opinion Date: March 6, 2020

Judge: Thomas Beall Griffith

Areas of Law: Criminal Law

The DC Circuit affirmed defendant's conviction and sentence for conspiracy to deal heroin and other drugs. The court held that defendant has failed to demonstrate prejudice from the government's belated disclosure of a handwritten letter tending to impeach a government witness, and thus his Brady claim failed; the district court did not abuse its discretion in denying defendant's motion for severance; the indictment's allegation that defendant and his codefendant conspired to distribute drugs made joinder of their trials proper; and refusing to disclose the names of his customers disqualified defendant from taking advantage of the safety valve.