Amazing NYSE Decision of Exoneration
Jan 22, 2008 2:49 pm
After more than a quarter of a century on Wall Street's regulatory scene, I don't think I've seen a more amazing case than Slezak: http://rrbdlaw.com/RegulatoryLinks/CASESOFNOTE/NYSE/2008.htm
Finally, we get a fair and balanced panel that fully considers a complicated case, goes to pains to get the facts and the law right, doesn't fall for the "if they named him he must be guilty" mind set, and writes a powerful, moving decision that essentially exonerates three Respondents.
For those of you who follow my Registered Rep. magazine column, my website, and my blog, I am absolutely urging and beggin you to read this case. Long overdue. Now let's see if this new fervor for fairness at NYSE is contagious at the old NASD.