• Posts by Kenneth W. DiGia
    Member of the Firm
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    Attorney Ken DiGia leverages more than 30 years of legal experience to advise a broad range of clients on various employment law issues. Clients value his responsiveness and attention to detail. Always working to help clients avoid ...

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FINRA Reminds Employers That Employees Can Communicate with FINRA and Employers Need to Let Them Know!
Categories: Financial Services
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By Kenneth DiGia and Lauri F. Rasnick

FINRA just issued a reminder regarding its views on confidentiality provisions and confidentiality stipulations.

Settlement Agreements

In Regulatory Notice 14-40, FINRA follows up on its prior Notice to Members 04-44, in which it had cautioned firms about the use of certain provisions in settlement agreements that impede, or have the potential to impede, FINRA investigations and the enforcement of FINRA actions.  Specifically, FINRA had addressed settlement agreement provisions which limited, prohibited or discouraged employees from ...

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