WaMu Loses Solicitation FINRA Arbitration Against Former RRs

No replies
Anonymous's picture
Anonymous

WaMu Loses Solicitation Case Against Former BrokersWall Street professionals will find today's column of particular interest as it explores the ever-thorny issues of what constitutes an inappropriate "solicitation" of clients after you've left an employer.  In that context, you will read about Temporary Restraining Orders, Permanent Injunctions, and what the burden of proof is to prevail against former employees.  A must read for all registered persons: WaMu Loses Solicitation Case Against Former BrokersBreak Up the Securities and Exchange CommissionDon't forget to read and pass on to your colleagues, Bill's red-hot commentary responding to SEC Chair Schapiro's call for more staff and more funding. It's time that someone finally stood their ground and stood up against the burgeoning mess of runaway regulatory bureaucracy. Read: Break Up the Securities and Exchange Commission

Please or Register to post comments.

Industry Newsletters
Careers Category Sponsor Links

Sponsored Introduction Continue on to (or wait seconds) ×