More Thoughts, Ideas and uh, Brain Droppings
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...
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Expungement of Complaints from the CRD
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...
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