Amazing NYSE Decision of Exoneration

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Jan 22, 2008 2:49 pm

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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. 
 
Bill Singer
Feb 6, 2008 8:25 pm

Good case, lets hope we see more like that in the future.