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[All Entries] A customized, online radio station to help you all chill out May 16, 2008 http://pandora.com Like I said a few blog posts back, before the nonsense with Lt. Col. Johnson, I'm tired.  Tired of ... | [Read On]
» CASES OF NOTE » CONTINUING EDUCATION » OUTSIDE BUSINESS/PRIVATE TRANSACTIONS » U4, U5 AND RE3 » RESEARCH & ADVERTISING » STATUTORY DISQUALIFICATION » UNDISCLOSED SETTLEMENTS » BROKE AND BROKER BLOG » PRESS ROOM » ONLINE BOOKSTORE » SECURITIES INDUSTRY COMMENTATOR » RULES, REGULATIONS, LAWS & DECISIONS » BULLETIN BOARD		Printer Friendly The Financial Industry Regulatory Authority FINRA  UNDISCLOSED SETTLEMENTS 2008   In the Matter of the Application of Stratton Oakmont, Inc. For Review of Disciplinary Action Taken by NASD (Securities and Exchange Act of 1934 Rel. No. 38390 / March 12, 1997) at http://www.sec.gov/litigation/opinions/3438390.txt NASD Notice to Members 86-36: Firm Agreements With Customers Not To Testify In NASD Proceedings, dated May 14, 1986, states that settlement agreements that preclude customers from testifying in NASD proceedings may violate applicable Rules.  Also see NASD Notice to Members 95-87: Confidentiality Clauses In Settlement Agreements, which contains an acceptable version of a confidentiality clause. NASD Notice to Members 04-44: Impermissible Confidentiality Provisions and Complaint Withdrawal Provisions in Settlement Agreements NASD Notice to Members 04-43 Members' Use of Affidavits in Connection with Stipulated Awards and Settlements to Obtain Expungement of Customer Dispute Information under Rule 2130 PRE-FINRA CASES 2005 2007 2004 2006 2003 <?PHP include($_SERVER["DOCUMENT_ROOT"]."/lib/disclaimer.php"); ?>		Subscribe Unsubscribe   917-520-2836 720-559-2800 rrbdlawyer@aol.com