Allegation type: Employment Separation After Allegations
Allegation status:
The allegations read: Mr. Gresham's employment was terminated when his managers lost confidence in his willingness to abide by the firm's order entry policies because (1) he mismarked solicited trades as unsolicited after previous discipline for exercising discretion and (2) he did not give satisfactory answers in connection with the firm's review of the mismarking.
