Let's say you just read a letter from the NASD, and it seems that they are preparing to charge you with a regulatory violation. You want to fight it but are willing to consider a fair settlement offer. Murray, your...
If you are like most working people, you go to the office every day. And, if you like your job, it can even be hard to stay away. But if you get a suspension from the NASD, don't give in to temptation. Stay away. Go...
Sometimes you are guilty as charged caught with your arm in the cookie jar and that's it. Sure, you have excuses and rationalizations, but no NASD or NYSE hearing panel is likely to believe them.
Upon losing a Senate race to Stephen Douglas in 1858, Abraham Lincoln described the experience, saying he was reminded of that boy in Kentucky, who stubbed his toe while running to see his sweetheart. The boy said he...
Sometimes I wonder if there is a secret plan to socially engineer smaller NASD firms out of business. When I look around our industry, I see independent/regional firms crushed under the weight of an ever-growing...
