Topic
Disciplinary Action
57 published works
Corporate & Financial Weekly Digest
FINRA Launches Disciplinary Actions Database
On May 16, the Financial Industry Regulatory Authority announced the launch of the FINRA Disciplinary Actions Online database, a web-based searchable system that makes disciplinary documents accessible to the public.…
Legal Profession Blog
E-Courtesy And The First Amendment
The South Carolina Supreme Court issued and published a private letter of caution "to address what we see as a growing problem among the bar, namely the manner in which attorneys…
Train Law Blog
How The FRSA Overrides Valid Reasons For Discipline
Strange as it sounds, a railroad manager can have a valid reason for taking disciplinary action against an employee and still be in violation of the FRSA. How? Because the employee's protected activity…
San Antonio Employment Law Blog
Officer Appeals His 17th Suspension
In most private sector jobs, if you were suspended 17 times by your employer, you would be out of a job. But, Officer Lee Rakun is still appealing his latest…
Securities Law Prof Blog
FINRA Proposes Broadening Arbitrators Power to Make Disciplinary Referrals
FINRA filed with the SEC a proposed rule change to amend the Codes of Arbitration Procedure to permit arbitrators to make disciplinary referrals during the course of an arbitration proceeding. Rel.…
Mass Tort Litigation Blog
Around the Web
By joetort
Dan Levine, Pair of Plaintiffs Lawyers May Face Different Fates in 9th Circuit Disciplinary Action, The Recorder (discussing disciplinary action in Nicaraguan pesticides case).Francis E. McGovern (Duke), The Second Generation of…
New Jersey Public Safety Officers Law Blog
Termination of Middlesex County Sheriff’s Officer Upheld
On April 28, 2009, the Appellate Division decided In the Matter of Joan Ivan, Docket No.: A-1070-07T2. Following a hearing conducted on April 15, 2003, appellant, Joan Ivan (“Ivan”), a…
Legal Profession Blog
A Matter Of Trust
Yesterday I posted a comment about a consent disposition in the District of Columbia that had generated some controversy and a dissent. Today, the Minnesota Supreme Court shows how consent…
Legal Profession Blog
License To Steal
An attorney voluntarily surrendered his license to practice law in Georgia, which the Georgia Supreme Court accepted as a sanction "tantamount to disbarment" in a case involving conversion of the…
Legal Profession Blog
Professor Pitfalls
One of the perils of moving from practice to academia led to the following sanction reported in this month's California Bar Journal:[An attorney] was suspended for one year, stayed, placed…