Archives for January 2021

I was prosecuted for a crime I didn’t commit years ago. I sit here writing my blog with tears in my eyes and a warm heart. For nearly two weeks, I have been in a skilled nursing facility daily beside my Aunt who is dying. She has lived a long, healthy, good life. She worked … read more

I am describing a federal criminal prosecution I was involved with many years ago. I was innocent. As my securities career grew, I decided to become an industry arbitrator. I had been on a committee of 3 where we listened to clients discuss their claims against their brokers. That was the essence of a typical … read more

I am describing a federal criminal prosecution I was involved with many years ago. I was innocent. For most of the time that the criminal prosecution was going on, it continuously amazed me that all my co-defendants were responding to an investor arbitration case that we were all in. The person that initiated the arbitration, … read more