My firm is adverse to the same brokerage firm in two arbitrations. They are not particularly big cases, but after more than 10 years of litigating against the same firm, I realized that it appears to be a mindset. One [...]
Remember when I blogged about Vincent McCrudden, an investment manager from New York? If you forgot, you can see it here. Back then, I analyzed his situation, tongue-in-cheek, and decided that he needed to have his mouth washed out with [...]
I just returned from vacation. It is one of the few times during the year that I turn off the cellphone, email and fax. Instead, I spend time “enjoying” my family (they seem to act like it’s a burden) and [...]
Early on in my legal career, I was a collection lawyer. In fact, I did collection work as a legal assistant while I was in law school. When I started doing collections in the securities business, I immediately starting working [...]
My friends at Fisher & Phillips, LLP maintain the Non-compete and Trade Secrets Blog. I have known these folks for a long time and they’re good at what they do. They may be wrong (wink), but they’re good at what [...]
Investment News discusses a recent SEC action against an investment adviser who left a wirehouse and formed his own RIA. Many brokers are viewing RIA business as a magic bullet to solve their increasing unhappiness with the wirehouse life. I [...]
OK, so remember when your mother was allowed to wash out your mouth with soap for using “dirty” words? (Now I think it counts as child abuse.) I do. There is at least one person who does not. In a [...]
I did not watch Sesame Street when I was a kid. I think I was just too old. But I love the Muppets, in part because their humor can be enjoyed on many levels. This clip popped up in something [...]
SunTrust Investment Services brokers, as I understand it, sit in banks. They wait for bank clients to come in and try to sell them securities. Generally, these clients are not experienced investors who are seeking out a stockbroker, active trading [...]
This is pretty far off-topic, but I have to admit that this is a good use of an iPhone. A father and his young son sent an iPhone with a broken screen into space tethered to a weather balloon. This [...]
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