Kelley Drye

Publications & Blogs 

A Road Map Through the Land of Statutory Disqualification

November 14, 2012 | Law360

Given the potentially dire consequences a misstep in the land of statutory disqualification may have on one’s future in the securities industry, it is imperative to tread cautiously. Due consideration must be paid before entering any settlement, in court or with a regulator, with particular focus on the type of relief being agreed to, the forum in which relief will be granted, the words of the order, and the statute or regulation being referenced.

A Road Map Through the Land of Statutory Disqualification (PDF, 500.74 K)

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