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Dechert LLP

Case law update – France / Second semester of 2019

Dechert LLP on

This newsletter summarises four significant judicial decisions over recent months.   1. The purpose of a probation period is for the employee’s skills to be assessed. Therefore an employee’s absence would extend the...more

Proskauer - Corporate Defense and Disputes

FINRA Bars Former President Of Broker-Dealer Along With Former Registered Representatives

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

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