“Lessons” is a story of a life, its influences, its twists and turns and all of the changes that occur with the passage of time. The novel is pure Ian McEwan.
Roland Baines is the product of a complicated family
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“Lessons” is a story of a life, its influences, its twists and turns and all of the changes that occur with the passage of time. The novel is pure Ian McEwan.
Roland Baines is the product of a complicated family…
When I am engaged to defend a case, whether it’s a customer arbitration or a regulatory complaint, my clients typically get to the point, sooner or later, where they ask me two questions: (1) what do I think about their…
Lucy by the Sea is an amazing rumination on life during the COVID pandemic from the perspective of Elizabeth Strout’s well known character, Lucy Barton.
Lucy Barton is a famous novelist, recently widowed and living in the Manhattan apartment she…
So, after all the hubbub about how Reg BI was going to turn the brokerage industry on its head, given the new standard of conduct – more like that of a fiduciary – that it was imposing on BDs and…
As the song goes, time keeps on slipping, slipping, slipping into the future. While Steve Miller may not have had FINRA and the SEC in mind when he wrote that lyric, the shoe certainly fits. Because here’s the thing about…
“Horse” is a work of historical fiction about horses, race, wealth and art. The novel focuses on a historic racehorse, Lexington. The story spans three different time periods and ties together disparate people and incidents.
The novel begins with Theo…
It’s always exciting to watch something that you just know will be deemed by later generations to be an historic event. I mean, I distinctly remember watching Neil Armstrong on TV taking his first steps on the moon, or the…
Trust is a unique novel about perception v reality, wealth v greed, gender equity and the complexity of relationships.
The story is told in three segments. The first segment is a separate novel within the novel by fictitious author Harold…
About a month ago, the SEC announced a settlement in a modest little case that has, nevertheless, managed to garner a lot of attention. This is a result of the fact that one of the respondents was the CCO, i.e.,…
Last week I posted a blog about the dangers of not heeding findings made during a regulatory exam, at least findings of clear, undisputable compliance issues that cannot be meaningfully defended. Today I am writing to highlight a corollary rule:…