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Criminal Law

: SECLaw.com

FINRA Wants More Details When Someone Gets Canned

By Mark H. Astarita, Esq.

FINRA's Regulatory Notice 10-39 is getting quite a bit of attention. FINRA is going to require Broker-Dealers to put more detail on termination notices in the future. The reason for the attention is that once again, we are going to have public disclosure of unsubstantiated allegations against brokers. Making matters worse, in NY at least, brokers cannot sue their firms for defamation, since those comments are absolutely privileged.On Wall Street has more on the issue, with quotes from yours truly. More>>>

Full post as published by SECLaw.com on September 28, 2010 (boomark / email).

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