Ten years and 100 columns! It's hard to believe that this is my 100th "Compliance" piece for On Wall Street. I began writing this column, originally titled "Dear Advocate," back in July 2002. For the first three years it ran every other month. But in April 2005, the good folks at On Wall Street (recognizing my brilliance, no doubt) asked if I'd do it every month. So, this time I thought I'd do something a little different.
In looking back over the last ten years, I see that, although the readers keep coming up with new questions, the themes remain the same: lawsuits from disgruntled clients; cleaning up CRD records; employment disputes; and, of course, clarifying ever-changing laws, rules and regulations.
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