By: Dena L. Narbaitz
Here is the scenario: your company, a FINRA Member Firm, terminates a broker for “violation of company policies” and reports this as the reason for termination on the broker’s Form U-5 (Uniform Termination Notice for Securities Industry Registration). The broker then sues your company in state court asserting several claims, including defamation for the language contained on his Form U-5. Your company thinks there is a good legal basis to have the broker’s claims dismissed as a matter of law before the case is tried. Should your company litigate the case ...
Blog Editors
Recent Updates
- Video: How Will Trump’s Federal Changes Impact Employers? - Employment Law This Week
- DEI Dead at Revamped EEOC: EEOC Enforcement Priorities After Trump Administration Makeover
- Video: How ERISA Litigators Strengthen Plan Compliance and Risk Management - One-on-One with Jeb Gerth
- Video: Employment Law Changes Under President Trump - Employment Law This Week
- Navigating Executive Orders: Insights and What Lies Ahead