This case is a fine bit of regulatory work by FINRA. The AWC clearly sets forth the fact pattern, explains why the self-regulatory organization opted to go after the supervisor, and provides compelling rationale for the sanctions imposed.

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Naturally there will be outliers in any organization who will complain no matter what, but absent an obvious pattern, such criticisms should be taken lightly or ignored by other stakeholders, such as current and future employers, customers and partners.

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