Topic
Disciplinary Action
57 published works
La Revue
Un licenciement peut-être justifié par les conclusions d’un audit
Cass. Soc. 26 janvier 2016, n°14-19002, publié au bulletin Une salariée, responsable administrative au sein d’une mutuelle avait été licenciée pour faute après qu’un audit réalisé par un cabinet d’expertise-comptable…
Broker- Dealer Law Corner
What In The Wells Is Going On With FINRA’s “Wells” Process?
By Alan Wolper, UB Greensfelder
With any luck, you can go your entire career in the securities industry without ever participating in the dreaded “Wells process.” And that’s a good thing, as the Wells process…
Corporate & Financial Weekly Digest
CME Launches Exchange Action Database
On April 23, CME Group Inc. issued a special executive report informing market participants that it has launched a searchable database of disciplinary actions, summary access denial actions and emergency…
Securities Compliance Sentinel
FINRA May Publicly Share Disciplinary Complaints Against Brokers
By Amit Shah
Much to the disappointment of brokers, the SEC recently approved a proposed rule that allows FINRA to publicly release copies of any disciplinary complaint or decision it issues, including the names…
Corporate & Financial Weekly Digest
CBOE Reminds Trading Permit Holders to Notify Exchange of Disciplinary Actions
Co-authored by Tanja Samardzija The Chicago Board Options Exchange (CBOE) issued a Regulatory Circular reminding Trading Permit Holders (TPH) that CBOE Rule 4.9 requires every TPH to notify the CBOE…
Employment Law Worldview
An implausibly tragic sequence of events
Taking time off falsely, whether as sick leave, compassionate leave or otherwise, is clearly misconduct, which would entitle an employer to take disciplinary action, up to dismissal, depending on the…
Securities Law Prof Blog
FINRA Proposes to Amend Rule Regarding Public Release of Disciplinary Complaints
FINRA has filed with the SEC a proposed rule change amending FINRA Rule 8313 (Release of Disciplinary Complaints, Decisions and Other Information) to make more information about disciplinary proceedings available…
EvidenceProf Blog
Time Out New York: NY Changes To Schools’ Time Out Policies Prompts Interesting Subsequent Remedial Measure Rulings
By Colin Miller
William ("Billy") Schafer, Jr. is a developmentally disabled child at the Rosemary Kennedy School (named for the developmentally disabled oldest sister of JFK). Based upon Billy repeatedly being placed in a…
Hiring To Firing Law Blog
No Good Deed Goes Unpunished
By Evan Pontz
Employment lawyers often say “No good deed goes unpunished.” We don’t mean you shouldn’t do “good deeds” to help, respect, thank, and reward employees and build stronger relationships. “Good deeds”…
Securities Law Prof Blog
FINRA Arbitration Rule Would Broaden Arbitrators’ Authority to Make Disciplinary Referrals
FINRA recently filed with the SEC a proposed rule change to amend Rule 12104 of the Code of Arbitration Procedure for Customer Disputes (“Customer Code”) and Rule 13104 of the…