Author Archives: kfish

FINRA Needs Industry Support to Protect Investors From Rogue Brokers

Blayne Yudis – The Financial Industry Regulatory Authority (“FINRA”), the securities industry’s self-regulatory organization, is, yet again, growing particularly agitated with the securities industry. A major source of these regulators’ frustrations stem from an industry-wide practice: a broker is fired from a large firm and subsequently picked up by a smaller, local firm. On its […]

Musk’s Tweets: Harmless Wishful Thinking by an Enigmatic CEO or a Short Squeeze?

Theodore O’Brien – On August 7, 2018, Elon Musk, the talented, puzzling CEO of Tesla Motors, rocked the business world with two simple tweets. In his first message, Musk shared, “Am considering taking Tesla private at $420. Funding secured.” Later that day, he followed that tweet with another: “Investor support is confirmed. Only reason why […]

Law Firm Diversity: Yea or Nay?

A.J. Kim – When you open a law firm’s website, you will most likely encounter a section dedicated to “diversity.” These sections typically contain statements that discuss the firm’s diverse demographics and its efforts to promote inclusion, as firms strive to appear diverse and inclusive to its prospective clients and applicants. At first glance, you may […]