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Category: Arbitration

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More Thoughts, Ideas and uh, Brain Droppings

Posted on April 28, 2023
As noted time and time again, George Carlin’s Brain Droppings is as an inspiration for my micro-blog on LinkedIn.  There I frequently comment on events affecting the broker-dealer and registered investment adviser communities.  And there have...
More Thoughts, Ideas and uh, Brain Droppings Continue reading…
Expungement of Complaints from the CRD

Expungement of Complaints from the CRD

Posted on April 29, 2022
Anyone Can Indict a Ham Sandwich – or Put a Complaint on an AP’s Record [1] From where I sit, the reporting of a complaint against an AP is one of the more controversial aspects of the broker-dealer industry.  This is chiefly because the standard for reporting a complaint is extremely low. . . Your Elementary...
Expungement of Complaints from the CRD Continue reading…
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