What's the Tea in L&E? Supervisor Liability: What Managers Need To Know
Practical Training for Project Managers & Supervisors Two-Part Webinar Series: Part Two
Practical Training for Project Managers & Supervisors Two-Part Webinar Series: Part One
III-40 – Valentine’s Day Episode on Love Contracts
Episode 24: EEOC Commissioner Chai Feldblum Part I: Employers' "Superstar Harassment" Problem
FINRA has provided an update on its targeted exam sweep related to option account opening, supervision, and disclosure (the Update). While the sweep is ongoing, FINRA’s recent release serves as a helpful reminder for...more
The Financial Industry Regulatory Authority issued a regulatory notice clarifying the scope of supervisory liability under FINRA Rule 3110 of a broker-dealer’s chief compliance officer (CCO) (Regulatory Notice). FINRA’s Head...more
As should be clear to readers of this Blog, I find that Enforcement actions often provide the best guidance in terms of what regulators deem to be unacceptable conduct, which is very useful when dealing with subjective...more
Bass, Berry & Sims attorney Chris Lazarini examined a case where Plaintiff, a 61-year-old female bank employee, sufficiently pleaded constructive discharge in support of her employment discrimination claims where she was...more
Reflecting increased regulatory willingness to discipline principals and supervisors, FINRA recently announced that it had imposed an industry bar on the former president of a defunct broker-dealer, along with five registered...more
On September 30, 2013, the US Securities and Exchange Commission (SEC) Division of Trading and Markets issued Frequently Asked Questions (FAQs) in an effort to provide guidance regarding potential supervisory liability of...more
The SEC has provided some much-needed clarity on the issue of when broker-dealer compliance or legal personnel may be considered to be supervisors. On September 30, 2013, the Division of Trading and Markets (the “Division”)...more
The Securities and Exchange Commission Division of Trading and Markets has issued Frequently Asked Questions (FAQs) that provide guidance regarding potential supervisory liability of compliance and legal personnel at...more