Posts tagged compliance officer.
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New York’s At-Will Employment Rule Applies To Compliance Officer Allegedly Fired For Objecting To Misconduct
Categories: Financial Services
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By:  William J. Milani and Anna Kolontyrsky

The New York Court of Appeals has rejected a wrongful discharge cause of action brought by a hedge fund compliance officer who claimed that he was terminated for questioning a series of personal stock trades by the company’s president.  Sullivan v. Harnisch, No. 82 (N.Y. May 8, 2012) (PDF)

Sullivan, who was the Chief Compliance Officer, Executive Vice President, Treasurer, Secretary and Chief Operating Officer of the hedge fund, was terminated after confronting the hedge fund's president about stock trades that Sullivan believed ...

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