There is no question in my mind that the quality of FINRA examiners is a bit uneven. Some are smart and insightful and helpful; others are, well, not. Most of the time, they do know what they’re talking about. That
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The Book of Form and Emptiness – by Ruth Ozeki
“The Book of Form and Emptiness” is a story about love of books, understanding, nonjudgmental tolerance and the insignificance of material things. In general, the story is told by the book, which may sound obvious, but in this case, the…
When It Comes To GPB, FINRA Looks At Things Quite Differently Than The SEC And The DOJ
Among the criticisms I have leveled against FINRA are (1) that it is increasingly acting like a claimant’s arbitration attorney, by taking every possible opportunity to blame member firms for losses incurred by investors when other palpable reasons for those…
The 411 On FINRA Rule 4111
Well, Memorial Day is just past us, so we all know what that means: it’s time for FINRA to conduct its first annual assessment of its member firms to determine whether they should be branded a “Restricted” firm under new…
French Braid – by Anne Tyler
If you love Anne Tyler as I do, you will love French Braid, which is pure Anne Tyler and a breath of fresh air.
The novel starts in March of 2010 with Serena Drew and her boyfriend, James, in the…
FINRA’s Fixation On Unpaid Arbitration Awards Has Morphed Into Something More Dangerous
Shortly, I hope to get around to drafting a blog post about FINRA’s latest demonstration of abasement to PIABA and claimants’ counsel everywhere, namely new Rule 4111. But, that rule is such a monstrosity that it will take a little…
Oh William! – by Elizabeth Strout
“Oh William” is Elizabeth Strout’s third Lucy Barton novel. The novel focuses on family, the importance of formative years and the lifelong process of filling in the holes of knowledge about ourselves and others.
Lucy is now 62 years old, divorced,…
More Thoughts On The Age Of FINRA Arbitrators
Not too long ago, I wrote a piece complaining about (among other things) the fact that the potential arbitrators that FINRA rolled out to the parties in a particular arbitration I was handling skewed juuuuuuust a bit towards the older…
Some Ideas In Response To FINRA’s Recent “Discussion Paper” On Expungement
FINRA recently published a “Discussion Paper” on expungement of customer dispute information in which it outlines its plans going forward on revising the expungement process. Expungement_Discussion_Paper.pdf (finra.org) (Let me just start by applauding FINRA for trying hard to get this…
The Candy House – by Jennifer Egan
The Candy House is a simply amazing novel about the intrusive nature of evolving technology and the ever increasing importance of real human interaction. The novel is a companion to Egan’s Pulitzer prize winning “A Visit From the Goon Squad,”…