Tag Archives: disciplinary

FINRA Disciplinary Action Report August 2018

FINRA Broker Disciplinary Action Report August 2018Each month, the agency that regulates the financial industry, FINRA (Financial Industry Regulatory Authority), produces a detailed report that runs down all disciplinary actions recently taken against brokerage firms and brokers. We strongly encourage … Continue reading

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Delegating the authority to make a final disciplinary decision and the determination of the penalty to be imposed to another

Delegating the authority to make a final disciplinary decision and the determination of the penalty to be imposed to anotherMatter of Stukes v City of White Plains, 2018 NY Slip Op 05474, Appellate Division, Second DepartmentThe Executive Director of the … Continue reading

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Disciplinary Actions and Penalties applicable to public officers and employees of the New York State and its political subdivisions

Disciplinary Actions and Penalties applicable to public officers and employees of New York State and its political subdivisions The excerpts below are from The Discipline Book1  An electronic guide to disciplinary actions involving public officers and employees in New York … Continue reading

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Employee's resignation after being found guilty of disciplinary charges forfeits his or her right to demand arbitration

Employee's resignation after being found guilty of disciplinary charges forfeits his or her right to demand arbitrationMatter of the Arbitration between Unit 8251, Local 842, CSEA v City of Troy, 169 AD2d 871 Under the terms of a Taylor Law agreement, … Continue reading

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Conducting student disciplinary proceedings consistent with fundamental notions of due process is an "unwavering obligation"

Conducting student disciplinary proceedings consistent with fundamental notions of due process is an "unwavering obligation" 2018 NY Slip Op 05104, Appellate Division, Fourth DepartmentA college [Respondent] had sanctioned a student for alleged violations of the Student Code of Conduct. In … Continue reading

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