News & Analysis as of September 20, 2024

Hiring & Firing › Brokers

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Hiring & Firing refers to the process of recruiting, interviewing and offering employment and the process of evaluating performance and dismissing employees. Hiring & Firing is a highly regulated area and can create tremendous liability for employers who fail to properly adhere to acceptable employment practices. Some of the potential pitfalls in this area stem from discriminatory hiring practices, improper performance evaluations, and retaliatory firings. less -

Financial Daily Dose 10.7.2019 | Top Story: Talks Between GM and UAW Falter as Strike Hits Fourth Week

Robins Kaplan LLP on 10/7/2019

Talks between General Motors and the striking UAW broke down yesterday, threatening the progress the two sides “appeared to make in recent days,” a troubling sign as the strike heads into its 4th week....more

"It Was A Very Good Year" (For Freight Brokers)

Benesch on 11/20/2018

Frank Sinatra certainly was not thinking about freight brokers when singing this Grammy-winning song back in 1966. However, the title of the song definitely resonates for freight brokers in 2018. In addition to capitalizing...more

The Broker Protocol: End of an Era?

Womble Bond Dickinson on 2/1/2018

Morgan Stanley and UBS – two of the largest wirehouses in the United States – recently withdrew from the Protocol for Broker Recruiting Agreement, commonly referred to as the “Broker Protocol.” This move has raised much...more

The Protocol for Broker Recruiting Suffers Major Defections—and May Suffer More

Ogletree, Deakins, Nash, Smoak & Stewart,... on 1/10/2018

Three prominent financial services companies recently announced their withdrawal from the Protocol for Broker Recruiting, an agreement among securities firms regulating the conduct of stockbrokers changing jobs and curtailing...more

Chris Lazarini Provides Insight on Broker's Employment Retaliation Claims

Bass, Berry & Sims PLC on 11/16/2017

Bass, Berry & Sims attorney Chris Lazarini provided insight on a case in which a former commodities broker claimed her former employers retaliated against her for filing a civil rights complaint by causing her new employer to...more

Chris Lazarini Discusses Burden-Shifting Analysis in Discrimination Case

Bass, Berry & Sims PLC on 6/12/2017

Bass, Berry & Sims attorney Chris Lazarini discussed a case in which the plaintiff, a former stockbroker, sued his employer after he was terminated claiming discrimination under the ADA and ADEA. Under these statutes and...more

Ban on Mandatory Employment Arbitration Agreements Passed by California Legislature

Epstein Becker & Green on 9/9/2015

On August 27, 2015, the California Legislature passed AB 465, a bill that would make mandatory agreements to arbitrate employment disputes illegal in the state. Governor Jerry Brown has until October 11, 2015, to sign...more

Connecticut Broadens Exemptions to Law Limiting Credit Checks

Proskauer - Law and the Workplace on 10/28/2014

Connecticut has added mortgage brokers, lenders, and servicing companies to the list of “financial institutions” exempted under the state’s existing law limiting credit checks for purposes of employment. The amendment, which...more

Is A Licensed Securities Dealer A “Professional” Under Alabama Law Prohibiting Enforcement Of Nonsolicitation Agreements Against...

Burr & Forman on 5/22/2014

The Alabama Court of Civil Appeals released a slip opinion on May 16, 2014 addressing enforcement of a nonsolicitation agreement against a licensed securities broker. See G.L.S. & Associates, Inc., and G.L. Smith &...more

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Hiring & Firing › Brokers

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