Category: News

I Should Not Be Seeing This

Sometimes regulators come across information that they were not intending to see. Responding appropriately can be important. In a civil case, two business partners were

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Streamlined Discipline Hearings

Many regulators have recurring issues that some practitioners seem to ignore. Often, they involve a failure to comply with a routine obligation. For example, many

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Alleging Intent

In discipline matters, regulators generally do not have to prove that the practitioner had malicious or dishonest intent to engage in the conduct. Failing to

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Records vs. Recollection

An individual’s recollection of a particular event or set of events can be a powerful piece of evidence, however its impact can be significantly undermined

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Playing Games

Practitioners facing serious allegations of misconduct have the right to a fair hearing, including adjournments, when necessary to prepare their case or because of health

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