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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
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PRE-FINRA CASES |
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