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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Moscicki v. Leno

Docket: 2019-0092

Opinion Date: March 6, 2020

Judge: Donovan

Areas of Law: Civil Procedure, Landlord - Tenant, Personal Injury

Sandra Moscicki appealed a superior court order denying her motion to exclude expert testimony proffered by the appellees, Charles and Heidi Leno. In July 2008, the Lenos’ twin children, a boy and a girl, were born. In September 2009, the Lenos and their children moved into an apartment owned by Moscicki’s trust. Shortly thereafter, when the children were approximately eighteen months old, Heidi Leno “expressed concerns” regarding their son’s “speech and development.” Charles Leno had also observed that their son exhibited “significant developmental problems in the months before his eighteen-month checkup.” In October 2009, both children were tested for lead. The test revealed that both children had elevated blood lead levels (EBLLs). The children were again tested for lead in July 2010, shortly after their second birthday. This test revealed that they again had EBLLs, higher than previously recorded. Thereafter, the Lenos and their children moved out of Moscicki’s apartment. Moscicki brought an action against the Lenos, seeking unpaid rent. The Lenos then filed an action against Moscicki, alleging that their children suffered harm as a result of lead exposure while living in the apartment. The trial court consolidated these actions. The interlocutory question transferred to the New Hampshire Supreme Court called for the Court to decide whether for an expert opinion on causation to be admissible in a toxic tort case, the expert had to consider the “dose-response relationship” in reaching that opinion. The Supreme Court answered in the negative and remanded the matter for further proceedings.

New Hampshire v. Smith

Docket: 2018-0416

Opinion Date: March 6, 2020

Judge: James P. Bassett

Areas of Law: Constitutional Law, Criminal Law

Defendant Nathaniel Smith appealed a superior court order denying his motion to enforce the terms of a plea agreement that he entered into with the State. He argued the trial court erred in ruling that the sentences addressed in the agreement would run consecutively to an unrelated sentence that he was serving at the time that he executed the agreement. After review, the New Hampshire Supreme Court concurred, vacated the trial court order and remanded for correction.