Stark & Stark’s Employment Group was quoted in the October 19, 2009 Wall Street Journal article, COMPLIANCE WATCH: Expulsion Shows Risks Of Outside Accounts. The article discusses the recent expulsion of Miguel A. Chavez by the Financial Industry Regulatory Authority (FINRA). The expulsion comes as a result of Chavez’s association with firms that sell securities after he opened an outisde account and did not inform his employer of the account.
You can read the full article oline here. (PDF)