Tennessee
10.1.2018 |
Thomas K. Potter III
Frank Borger-Gilligan, Tennessee's chief securities regulator, last week was selected as President-Elect of the North American Securities Administrators Association ("NASAA") at the annual meeting in…
09.12.2016 |
Thomas K. Potter III
The Securities Division of Tennessee's Department of Commerce and Industry has increased its enforcement activity during 2016. The recent actions include: Final Administrative Orders: Clifton…
05.27.2016 |
Thomas K. Potter III
In a recent new release, the Tennessee Securities Division urged investors to ask tough questions of their investment advisors, and about their compensation, account arrangements…
05.10.2016 |
Thomas K. Potter III
The Securities Division of the Tennessee Department of Commerce and Insurance issued a May 2 press release encouraging consumers to report financial-services misconduct to its…
04.29.2016 |
Thomas K. Potter III
Tennessee fraudulent misrepresentation claims - and "investment contract" claims under the State's Blue Sky Law - fail the "reasonable reliance" requirement, where the plaintiff himself…
04.22.2016 |
Thomas K. Potter III
On April 12, the Tennessee Republican Party filed a petition in the US Sixth Circuit Court of Appeals, seeking to invalidate the SEC's approval of…
12.16.2015 |
Thomas K. Potter III
The Tennessee Supreme Court released a December 14 decision reviewing personal jurisdiction over non-resident defendants. First Community Bank, NA v. First Tennessee Bank, NA, No.…
12.9.2015 |
Thomas K. Potter III
There's a developing circuit split over whistleblower standing for retaliation claims. A decision this week extended that split to U.S. district courts within Tennessee, too.…
11.20.2015 |
Thomas K. Potter III
The Tennessee Securities Division, Department of Commerce and Insurance (Julie Mix McPeak, Comm'r) recently confirmed its launch of a comprehensive three-year cycle examination program covering…
