RRBDLAW.com :: Enforcement Actions :: Undisclosed Settlements

VISIT WALL STREET'S LEADING ONLINE COMMUNITY BrokeAndBroker.com The Financial Industry Regulatory Authority FINRA UNDISCLOSED SETTLEMENTS
2009	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 NASD Conduct Rule 2370 NYSE Rule 352
PRE-FINRA CASES
2005	2007
2004	2006
2003

It's All Over Now: My 42-year Wall Street Journey by Bill Singer, Esq.

January 30, 2024

Before my second career as a lawyer, I was the third generation of my family in the wine and liquor industry. In 1981, I started law school; and in 1982, I was hired as a law student in Smith Barney, Harris & Upham's Legal Department. After I graduated law school, I was a regulatory lawyer with the American Stock Exchange and then with the NASD (now... Read On

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