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Our F3 workouts typically begin at 0530, which leads the smart aleck in me to quip that it is probably better for everyone involved that they can’t see me very well. I guess the joke is on me. It was my pleasure to spend some time on camera with Parham Nasseri, CFA for another installment of InvestorCOM Inc.‘s “Wealth Compliance Leaders” series. It is now available on YouTube at, where you can hear Parham and I knock around a few ideas affecting the broker-dealer and registered investment adviser industry.

Spoiler alert: We never did figure out that Washington Capitals – Toronto Maple Leafs trade.

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Thank you for reading this blog.  I wrote it for informational purposes only (some may consider it ADVERTISING MATERIAL) and did not intend for it to be legal advice or to form an attorney-client relationship with you – especially in jurisdictions where I am not licensed to practice law.  I encourage you to seek your own counsel to help you with your specific situation.  To that end, I invite you to contact me if you would like to discuss my services.  My practice focuses on helping broker-dealers, registered investment advisers and their associates address a wide range of legal and compliance issues.