Posts Tagged “Compliance Officer fired”
Should Compliance Pros Fear Doing The Right Thing?
by Beth Connolly on May 14, 2012
New York State’s highest court has dismissed a lawsuit by a compliance officer who alleged that he had been fired in retaliation for an objection to suspicious trading activities.
Compliance Officers Not Subject To Whistleblower Protections, Says Court
by Beth Connolly on May 9, 2012
A compliance officer fired by a New York hedge fund is not allowed to file a lawsuit against his former employer for wrongful termination, reports FINalternatives.
