FEATURES:

The Rogues Report, a journal reporting on significant and/or notorious failings: SRO disciplinary actions, SEC proceedings, criminal prosecutions, and other unfortunate events affecting the industry, its personnel, and the customers they serve.

Rants and Raves, opinion pieces and commentaries on the industry and the federal, SRO and state regulatory schemes designed to govern the conduct and affairs of the brokerage and advisory businesses. A forum for discussion and observations by industry stalwarts, investment professionals, and the investing public.

Articles, written for various journals, publications, and presentations, and touching on regulations and regulatory actions and other things that interest me.