Tag: Professional

• Professional Liability

  FINRA Complaints – 5 Steps to Responding

  • July 20, 2016
  • By Allen & Gooch

  5 Steps For Financial Professionals to Take When Facing FINRA Complaint With the rise of BrokerCheck, it is more important than ever that brokers and financial advisors maintain a clean record. Complaints by clients can show up on BrokerCheck and create a shadow on the financial professional’s integrity, making it significantly more difficult to market […]

• Construction Law

  La. Supreme Court – Contractor has no Professional Duty that Would Create Personal Liability

  • January 5, 2016
  • By Allen & Gooch
  

  La. Supreme Court reverses Third Circuit In December 2014, the Third Circuit held that an individually-licensed contractor could be held personally liable to a homeowner under the professional duty exception to limited liability for LLC members. Nunez v. Pinnacle Homes, L.L.C., 2013-1302 (La. App. 3 Cir. 12/17/14), 158 So. 3d 71 writ granted, 2015-0087 (La. […]