Before You Paste That Into AI, Read This
Artificial intelligence is moving into the workplace at a remarkable pace. Depending on who you ask or the day, it is either going to revolutionize business or end civilization. The truth, as usual, is probably somewhere in the middle. What is not up for debate is that AI has become an extraordinarily...
Finding Balance: Curly Was Right
I have written a fair amount over the years about SEC examinations, FINRA enforcement actions, compliance programs, and the various ways regulators can complicate an otherwise pleasant afternoon.
This is not one of those posts.
Instead, I want to revisit one of the more important lessons...
Law and Order – April 2026
The Financial Industry Regulatory Authority, Inc. (FINRA) posts the disciplinary actions it took to an online database. It also publishes a monthly summary of these actions, which is a worthwhile read for...
