Tag Archives: Concerning

Making false statements concerning the employee's performance of his or her duties

Making false statements concerning the employee's performance of his or her dutiesNYC Office of Administrative Trials and Hearings, OATH Index No. 1147/18NYC Office of Administrative Trials and Hearings, OATH Index No. 1244/18 In OATH No. 1147/18 a New York City … Continue reading

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Technical Memoranda (TM) concerning prescribed Life Safety Code (LSC) standards for ALFs

Provider Letter 18-11  – Technical Memoranda (TM) concerning prescribed Life Safety Code (LSC) standards for ALFs to be responsible for reviewing the LSC TM and complying with the guidance provided therein. The LSC is a set of fire protection requirements designed … Continue reading

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Court upholds appointing authority's rejection of hearing officer findings concerning employee's residence

Court upholds appointing authority's rejection of hearing officer findings concerning employee's residenceIn the Matter of Linda Ziehm, 90 A.D.2d 677, Affd, 59 N.Y.2d 757Although the hearing officer found that she was living outside the City on January 1, the Commissioner … Continue reading

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Edward Wedbush Under Regulatory Scrutiny by NYSE Concerning Allegations of Failure to Supervise Certain Trades

On October 16, 2017, NYSE Regulation — the regulatory enforcement subsidiary of NYSE Arca, Inc. (“NYSE”) — filed a Complaint against Wedbush Securities Inc. (“Wedbush”) (CRD# 877), and its founder, Mr. Edward Wedbush.  The Complaint centers on Wedbush’s alleged systemic … Continue reading

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Sally Weger: Multiple Complaints Concerning Misrepresentation of Facts

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 16, 2018 indicate that New York-based Morgan Stanley broker/adviser Sally Weger is involved in resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from … Continue reading

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