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
- AI Resume Screening Tool Developer Is Subject to Federal Anti-Discrimination Laws, Says EEOC
- Video: SCOTUS Expands Title VII, EEOC’s Final PWFA Rule, AI Screening Tools - Employment Law This Week
- EEOC Final Rule Implementing the Pregnant Workers Fairness Act
- Podcast: Navigating Physician Non-Compete Litigation – Employment Law This Week
- Maryland Expected to Expand Pay Transparency Requirements in Fall 2024