A Road Map Through The Land Of Statutory Disqualification

Law360, New York (November 14, 2012, 12:19 PM EST) -- While most securities professionals and practitioners have a basic familiarity with the concept of statutory disqualification, this nuanced area of securities regulation contains quite a number of booby traps that can easily ensnare even the most seasoned. The jeopardy ranges from those terror-evoking stories of an individual agreeing to a court injunction that, unbeknownst to him, results in a statutory disqualification, to those equally frightening scenarios when a member refuses to "endorse" a settlement between a regulator and one of its associated persons on the incorrect belief that doing so would result in the individual's statutory disqualification.

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