Sea of Tranquility asks the question of whether this life is real or whether we are living in a simulation. The story is influenced by the COVID pandemic, the increasing importance of artificial intelligence and the rise of authoritarianism.
The
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Sea of Tranquility asks the question of whether this life is real or whether we are living in a simulation. The story is influenced by the COVID pandemic, the increasing importance of artificial intelligence and the rise of authoritarianism.
The…
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…
“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…
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…
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…
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…
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” 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,…
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…
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…