Fargo Investments v. Shaffer , FINRA Arbitration No. 10-00773 (Jan. 18,
2011) , claimant/counter-respondent Wells Fargo Investments,
LLC ("Wells Fargo," the "brokerage firm," or the "firm") had made to
respondent/counter-claimant Kenneth C. Shaffer ("Mr...
In June 2011, an arbitration panel of the Financial
Industry Regulatory Authority, Inc. ("FINRA") in New York awarded compensatory
damages of $493,906, plus costs, to a high yield trader formerly employed by
respondent Citigroup Global Markets, Inc. ("Citigroup Global Markets"...
Lots of employees refuse to sign disciplinary notices. Whether it's a counseling, warning, written reprimand, or suspension, anything before you're terminated is something you should sign. Why? Because refusing an order to sign it just might be considered insubordination. It also makes you look...