Posts tagged with "civil liability"

What You Need to Know About Your Child’s Education

One of the reasons that parents work so hard is to be able to provide a better life and a better future for their children. The bedrock of a bright future is a good education.  As a parent, it is important to understand your rights and obligations when it comes to your child’s education.

Adequate Education

As a parent, you are required to have your children enrolled in public school, unless the parent can show that the child is receiving equivalent instruction elsewhere. Under Connecticut law, the child must be “instructed in reading, writing, spelling, English grammar, geography, arithmetic and United States history and in citizenship, including a study of the town, state and federal governments.” Conn. Gen. Stat. § 10-184.

School Accommodations

The local school board is required to provide school accommodations to every child, age five (5) or over and under twenty-one (21), with a free appropriate public education. This includes children with special needs. The law also provides for your child’s education to take place in the district in which you live.


The State of Connecticut has strict regulations concerning a child’s absence from school. Specifically, the State declares a child who has four (4) or more unexcused absences in a month or ten (10) or more unexcused absences during the school year as a “truant.” The designation of your child as a truant results in the activation of certain policies and procedures of the school board, including but not limited to, the notification of the parents, services and referrals to community organizations offering family support, meetings with the parents and school personnel, and possible notification to the Superior Court.  Conn. Gen. Stat. §10-198a. Habitual truants could even face arrest for failure to attend school. Conn. Gen. Stat. §10-200.

Open Choice

Connecticut law has established alternatives to traditional public school education. A parent can home school their children, as long as they comply with Conn. Gen. Stat. §10-184. A parent can choose to send their child to private school, as long as that private school conforms to Connecticut’s laws. But what many parents are not aware of is that Connecticut also offers charter, magnet and vocational schools, and the “open choice” program.  Given the number of opportunities available to parents and children in Connecticut, it is important to research the various options to find the best match for you and your child.


The school has the right to discipline your child for breaking school rules. This could mean removing your child from the classroom, giving an in-school suspension, giving an out-of-school suspension, or even expelling your child from school. Prior to any suspension or removal, your child has the right to an informal hearing conducted by a school administrator. If the school is attempting to expel your client, there will be an expulsion hearing. You have a right to an attorney during these proceedings.


The school, prior to prescribing any medication to your child, must receive a written order from  an authorized prescriber, the written authorization of the child’s parent or guardian, and the written permission of the parent allowing communication between the prescriber and the school nurse.  Conn. Gen. Stat. § 10-212a-2(b). The law also permits school districts to allow children to self-administer prescribed emergency medications, such as asthma inhalers, if the child has a verified chronic medical condition and is capable to self-administer.


Bullying has become a pervasive problem within schools. State and Federal laws state that the school must investigate reports of bullying. The schools are obligated to meet with the children that are being bullied and whom are doing the bullying. If the schools fail to take certain steps to protect children from bullying, the school could be subject to civil liability. Therefore, if your child is being bullied, bring it to the attention of the schools so that they can attempt to remediate the situation.

Bullying is not just peer-on-peer. Recently, in Frank v. State of Connecticut Department of Children and Families, the Court upheld a hearing officer’s decision placing Mr. Frank’s name on the child abuse and neglect registry, for his bullying of one of his students. Consequently, as a parent you should be aware that bullying can take many forms, and can occur by teachers and other faculty members. 2010 Conn. Super. LEXIS 3085, J.D. of New Britain, Docket No. CV-10-6005213-S (2010).

School Records

A parent has the right to see their child’s school records. A school is required to provide you with a copy of your child records within 45 days (within 10 days if your child is receiving special education services).  The school also has to provide the records free of cost if you are unable to afford the copying fees.

The school is not allowed to share your child’s school records without your written permission. While they are allowed to share your child’s records with other teachers and staff within the school system (or outside the school system in the case of an emergency), generally, your child’s records are private.

If you have any questions regarding your child’s education, or any education law matter, contact Joseph Maya at 203-221-3100 or by email at

FINRA Arbitrators are Immune from Civil Liability When Making Decisions within Their Jurisdiction

FINRA Arbitrators are Immune from Civil Liability When Making Decisions within Their Jurisdiction

Richard Sacks, d/b/a Investors Recovery Service, v. Dean Dietrich and Teri Coster Boesch, 663 F.3d 1065 (9th Cir. 2011)

In a case before the Ninth Circuit, Richard Sacks (“Sacks”), doing business as Investor Recovery Services, appealed a United States District Court ruling dismissing his claims of intentional and negligent interference with contract and negligent interference with prospective economic advantage against Financial Industry Regulatory Authority (“FINRA”) arbitrators Dean Dietrich and Teri Coster Boesch (“the challenged arbitrators”). The Ninth Circuit affirmed the United States District Court for the Northern District of California ruling that Sacks’s claims were barred by arbitral immunity.

Sacks entered into a written contract with a client to represent him in a FINRA securities arbitration proceeding. In order to submit his dispute to FINRA, Sacks’s client signed a FINRA submission agreement. On behalf of his client, Sacks submitted a Statement of Claim, paid filing fees and requested a hearing. FINRA appointed a panel of three arbitrators, including the challenged arbitrators, to hear and decide the claims of Sacks’s client.

After two telephone hearings, the respondents in the arbitration moved to have Sacks disqualified on the grounds that he was ineligible under FINRA Rule 13208, which disallows representation by a person who is not an attorney and who is also “currently suspended or barred from the securities industry in any capacity.” Sacks was not an attorney and was barred from the securities industry in 1991. In his response to the motion to disqualify, Sacks objected to the arbitration panel’s consideration of the issue arguing that the panel did not have the authority to make a decision on his client’s representation and that he had not contracted with the panel to make any such decision. However, Sacks disputed neither the fact that he was not an attorney nor the fact that he had been barred from the securities industry. The challenged arbitrators signed an order disqualifying Sacks from representing his client. The third arbitrator did not join in the order.

Sacks filed a complaint in state court against the challenged arbitrators alleging that, by preventing him from representing his client, the challenged arbitrators exceeded their authority under his client’s FINRA submission agreement, FINRA rules and state law. The challenged arbitrators removed the case to federal district court. The district court ruled that Sacks’s claims were barred by arbitral immunity, granted the challenged arbitrators’ motion to dismiss and entered judgment dismissing all claims with prejudice. Sacks appealed.

The doctrine of arbitral immunity aims to protect decision makers from undue influence and the decision making process from reprisals by dissatisfied litigants. Wasyl, Inc. v. First Boston Corp., 813 F.2d 1579, 1582 (9th Cir.1987). The doctrine only applies to claims that effectively seek to challenge the decisional act of an arbitrator or an arbitration panel. More specifically, it limits arbitrators’ immunity to “civil liability for acts within their jurisdiction arising out of their arbitral functions in contractually agreed upon arbitration hearings.” Id. at 1582.

Sacks argued that the doctrine of arbitral immunity was inapplicable to bar his claims because the challenged arbitrators exceeded their jurisdiction. The first basis for this argument was that FINRA rules and applicable law prevented the challenged arbitrators from deciding a representational issue. Specifically, Sacks argued that FINRA Rule 13208 itself did not give arbitrators the authority to prohibit him from representing his client. However, the appellate court determined that, taken as a whole, FINRA rules and applicable law dictate that the challenged arbitrators were acting within their jurisdiction. FINRA Rule 13413 grants the arbitration panel authority to interpret and determine the applicability of FINRA rules and provides that “[s]uch interpretations are final and binding upon the parties.” There was no issue regarding Sacks’s lack of qualification under FINRA Rule 13208 because it was undisputed that he was not an attorney and had been barred from the securities industry. Therefore, the challenged arbitrators did not exceed their authority in issuing the disqualification order.

The second basis for Sacks’s argument that the challenged arbitrators exceeded their authority is that he could not be bound by the arbitration panel because he was not a party to the arbitration agreement. The appellate court determined that Sacks was still bound by the arbitration agreement under ordinary contract and agency principles. When Sacks’s client submitted his claim to FINRA, the FINRA arbitrators had jurisdiction to issue binding interpretations of FINRA rules. Therefore, because the challenged arbitrators acted with full authority under the client’s arbitration agreement, they could not be subject to suit by a party representative.

The appellate court determined that the arbitrators were acting within their jurisdiction and Sacks’s claims arose out of a decisional act. Therefore, the district court properly applied the doctrine of arbitral immunity to bar Sacks’s claims. The appellate court affirmed the district court rulings.

Should you have any questions relating to FINRA or arbitration issues, please do not hesitate to contact Attorney Joseph C. Maya in the firm’s Westport office in Fairfield County, Connecticut at 203-221-3100 or at

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