Articles and Commentary
Is
Free Advice Worth The
Price?
(Legal Corner, Registered
Representative, September, 1997)
Is house counsel always the best counsel? After serving
as an arbitrator in a case between a brokerage and a former representative, I
saw the perils of that approach.
Non-Competes
(Legal Corner, Registered
Representative, May 1998)
My take on red flags for sales professionals presented with
such documents the first day of work. Pull up the popup for current
thoughts on this fast-moving area of employment law.
Dealing
With A Problem Client
(Legal Corner, Registered
Representative, October, 1998)
While I aimed this article at
securities brokers, it addresses problems of potential miscommunication
that any service provider faces
- 'Pretext Plus' Most Consistent With Fairness
(Letter to Massachusetts Lawyers' Weekly October 28, 1998)
-
This was a response to a fall 1998 Lawyers' Weekly
article suggesting that Massachusetts state courts had set too high a burden
for the proof of discriminatory intent by an employer. In
fact, the Supreme Judicial Court held that
proof merely that the fact that an employer had not given the actual reason for
action against an employee was insufficient to constitute proof of race or
sex-based animus.
Independence Has Its Price
(Legal Corner,
Registered Representative,
March, 1999)
Some observations on the burdens self-employment may impose on
securities brokers.
Good News or Bad
News?
(Legal Corner, Registered
Representative, April, 1999)
If an employee retains
the right to opt out of an arbitration scheme created by his employer, should
he do so? The answer isn't as simple as it looks.
- NASD
Data Now A Click Away on the World Wide Web (MBA Section Review, July,
1999)
-
A reminder to anyone
holding securities on behalf of others that information concerning a
securities broker's disciplinary record can be obtained through the Web at www.nasdr.com/
l000asp
What You Don’t Know Can
Hurt
You
(Legal Corner, Registered
Representative, October, 1999)
Some thoughts on the
shift of selection of arbitrators in securities cases from NASD administrators
to the parties and how that might affect individual brokers.
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