Federal Court Eschews Jurisdiction Over State Enforcement Proceeding: Enforcement Section of the Massachusetts Securities Division v. Scottrade, Inc.
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By Paul J. Dubow

*Under the federal ingredient doctrine, a well-pled complaint arises under the laws of the United States if a state law cause of action “requires resolution of a substantial question of federal law”

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Insurance Agent/Investment Advisor Escapes Indexed Annuities Imbroglio: Van Dyke v. White
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By James L. Komie

An administrative order revoking an investment advisor’s registration for the sale of indexed annuities to senior clients that cause them to incur early surrender charges is arbitrary and capricious where no evidence is presented regarding the suitability of the individual transactions or consideration of insurance regulations relating to the sale and replacement of annuities.

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