California Employment News: Effective Disciplinary Procedures and Policies (Podcast)
California Employment News: Effective Disciplinary Procedures and Policies
A Primer on the Texas Bar Disciplinary System | Seana Willing | Texas Appellate Law Podcast
For a time, this seemed to increase employee productivity, likely arising from many factors, particularly including employees being able to work longer hours due to a lack of commute to work. In fact, studies have shown that...more
An employer’s past leniency in applying and enforcing its attendance policy did not contradict the employer’s later position that regular worksite attendance was required for employment, the U.S. Court of Appeals for the...more
The day after Christmas, FINRA issued a press release announcing that five big firms – Citigroup, J.P. Morgan Chase, LPL, Morgan Stanley and Merrill Lynch – had each entered into a settlement, collectively agreeing to pay a...more
As you may recall, the United States Federal Sentencing Guidelines for Organizations (FSGO) has provided the basis for American courts to impose harsh penalties upon organizations whose employees or agents have violated...more
On July 23, 2019, the SEC’s Office of Compliance Inspections and Examinations (OCIE) issued a risk alert outlining its observations and recommendations following an examination initiative that focused on oversight practices...more
While I hate to start out a posting with such “mumbo jumbo” terms, I had to come up with short hand descriptions of some otherwise fairly complex and robust topics under the new DOJ Guidance....more
The Financial Industry Regulatory Authority's (FINRA) constantly updated record of disciplinary actions contains a mixed bag of run-of-the-mill infractions, unethical behavior, and large-scale corporate misconduct and...more