Disciplinary Proceedings

News & Analysis as of

The Chicken Or The Egg?

You finally decided to take the long overdue disciplinary action. Jack has got to be disciplined. But just before you do, Jack, possibly sensing what’s about to happen, makes a complaint of harassment. This is the first...more

Ready, Set, Charge!

Professional discipline allegations are more art than science. Regulatory statutes usually provide little or no guidance for writing them. But whether you call them allegations, charges, citations, complaints or something...more

NLRB ALJ Rules That An Interim Grievance Procedure Does Not Require An Arbitration Option

In a decision issued last week, an Administrative Law Judge (“ALJ”) for the National Labor Relations Board (“NLRB”) ruled that an interim grievance procedure between an employer and a newly-certified union did not have to...more

NFA Adopts Fee for Registration Non-Disclosures

National Futures Association (NFA) has adopted a rule requiring firms and individuals to pay $1,000 fines for failing to disclose disciplinary matters on registration applications or failing to update existing registration...more

Social Media Misuse in the Workplace Rising, Companies Take Action and Implement Policies

Social media is an increasingly essential tool in today's business environment but as employers are learning, it carries inherent risks. More employers are taking disciplinary action and implementing social media policies to...more

Appellate Court Notes - Week of April 21

SC18877 Concurrence - Sarrazin v. Coastal, Inc. - Foreman for a plumbing contractor sued the company claiming he was entitled to overtime for traveling to job sites all over the state as he had to do so in a company...more

What Has Fahlen Wrought?

The California Supreme Court's decision in Fahlen v. Sutter Central Valley Hospitals has confirmed (not created) a sea change in the relations between hospitals and their medical staffs on the one hand, and physicians on such...more

Maine Supreme Court Clears Geologist In Ethical Dispute

Last week the Maine Supreme Judicial Court (the “Law Court”) issued a decision that reversed a determination by the Maine Board of Certification for Geologists and Soil Scientists (the “Board”) that a certified geologist had...more

25 Years After The Shark: Supreme Court Ruling On The NCAA Casts A Shadow On Current Investigations

Before John Calipari, Rick Pitino and other presently successful college basketball coaches, there was the “Shark”. Jerry “Tark the Shark” Tarkanian held an impressive run as the Men’s Basketball Coach at the University of...more

Case Comment: Penner v. Niagara (Regional Police Services Board), 2013 SCC 19: Did the SCC Flip Flop on Finality?

Can issues that have already been determined by an administrative tribunal in one forum be revisited in another forum? In its earlier decision in British Columbia (Workers’ Compensation Board) v. Figliola, the S.C.C....more

Uneven Discipline Undermines Compliance

The internal corporate world mimics broader social forces. A perfect example of this is a corporate disciplinary system and our criminal justice system....more

SEC Approves Amendments to FINRA Rule Regarding Release of Disciplinary Complaints, Decisions and Other Information

The Corporate and Financial Weekly Digest edition of March 29, 2013 summarized the Financial Industry Regulatory Authority’s proposed rule change to amend Rule 8313, which governs the release of disciplinary and other...more

Bad Things Come In Threes For CCOs

It is often said that bad things come in threes. I have often wondered where this phrase came from. ...more

Labor Letter, August 2013: Five Documents Sure To Appear In Your Lawsuit

Although simple and oftentimes overused, sports metaphors can provide insight into complicated topics. When it comes to employment litigation, cases often boil down to “blocking and tackling.” In other words, the fundamental...more

California Supreme Court Holds That County Board Revocation Procedures Provided Charter School With Constitutionally Adequate “Due...

On July 11, 2013, the California Supreme Court upheld the decision of the Court of Appeal that a charter school was afforded constitutionally adequate due process during revocation proceedings before the Los Angeles County...more

Connecticut Adds Burdensome Requirements to Personnel File Statutes

Connecticut has added several burdensome obligations to state statutes that give employees the right to inspect, copy and rebut their personnel files. At the urging of legal aid lawyers and other employee advocates, the...more

CBOE Reminds Trading Permit Holders to Notify Exchange of Disciplinary Actions

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 in writing of any disciplinary action taken by other...more

When "Peer Review" Has Ulterior Motives

A federal judge this week upheld a jury verdict against the American Academy of Orthopedic Surgeons, finding sufficient evidence for the jury's decision that the AAOS acted with "reckless disregard for the truth" in...more

Proposed Change to FINRA Rule Regarding Release of Disciplinary Complaints, Decisions and Other Information

The Financial Industry Regulatory Authority filed a proposed rule change to amend Rule 8313, which governs the release of disciplinary and other information by FINRA to the public. Among other things, amended Rule 8313 would...more

Time Considerations in California Occupational License Law

Discussion of special legal and strategic considerations re time and time limits in California professional/occupational licensing law and State actions re license enforcement and discipline. ....more

FINRA Panel Rules on Charles Schwab's Challenge to FINRA Rules Prohibiting Class Action Waiver Clauses

In October 2011, Charles Schwab ("Schwab") began inserting into its customer Account Agreements a class action waiver clause....more

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