Karen Donovan

Karen
Donovan
Articles
Michael Crichton's Posthumous Child
Michael Crichton left behind the makings of another kind of movie when he died on Nov. 4, 2008 at age 66
Clearing Your Good Name Is Harder Than Ever
A new rule that took effect in January stipulates that there are three reasons—and three reasons only—to grant expungement of client complaints from your U4
Driven to Defy Donor Intent?
The Rose Art Museum at Brandeis University in Waltham, Mass., has built an impressive collection of contemporary artists since it opened in 1961. But
Schapiro, FINRA Head And Obama's SEC Chair Selection Head To D.C. Tomorrow For A Confirmation Hearing
Mary L. Schapiro heads to Capitol Hill tomorrow morning for the hearing on her Senate confirmation as President-elect Barack Obama's nominee to chair the U.S. Securities and Exchange Commission.
The Clean Slate Club
The proposed FINRA rule would change current practice-which renders arbitrations a virtual black box in which the arbitrators need not explain how they decide a case.
Bonus Edition: Behind the Astor News
Indictment makes a mystery man out of a respected lawyer -- who could act as a key witness in the criminal trial.
The Fight Is On
When a client opens a brokerage account, he agrees that he won't sue you, the registered rep, in a court of law. In opening the account, the client agrees
The Expungement Crusade
Wall Street Breathed a Sigh of Relief when Eliot Spitzer moved into the governor's mansion in Albany. Word was that Andrew Cuomo, New York's newly elected
Arbitration Works, Says SIFMA; No It Doesn’t, Says PIABA
The Securities Industry and Financial Markets Association released a “white paper” today about how well the mandatory arbitration system works
Don’t Settle With Regulators—Litigate, Says Sutherland Et Al. (That Figures, Regulators Retort: Lawyers Would Say That)
It may be better to fight than to make a deal when the Financial Industry Regulatory Authority’s (FINRA) enforcement division comes calling, according to an annual study of disciplinary proceedings by the Washington D.C. office of the law firm Sutherland Asbill & Brennan.
U5 Hazard
Brokerage firms can say anything they like on a departing broker's Form U5, even if it's defamatory in nature and untrue. That's because the New York
Expunging Customer Complaints Is Too Easy . . . So Say Client Lawyers
The lobbying group of plaintiffs’ lawyers who represent customers in disputes with their brokers is calling on FINRA and the SEC to “immediately halt” the practice that allows arbitration panels to expunge customer complaints from a rep’s record.
A LICENSE TO LIE
WHEN YOU DECAMP one brokerage for another, your firm can say anything it wants about you on your Form U5 even if it's a lie, even if it's defamatory, just to punish you.
Defamed?
YOU CAN BARELY MAKE OUT THE FACE of Chaskie Rosenberg in the photocopy of a newspaper advertisement in his court file. In the late 1990s, Metropolitan
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