The Author


I still have my day job as a law enforcement attorney in Chicago. In that capacity I supervise and conduct forensic investigations into securities fraud. Formerly, I was a Salesman-Trader in options and other derivative products in the institutional departments at Merrill Lynch (1975-1982) and Kidder Peabody (1982-1988). We traders held to the old adage, “It’s better to be lucky than smart.” But I ignored that sage advice and in 1988 earned a JD from DePaul College of Law in Chicago, and in 1995 earned an LLM in Financial Services Law at IIT Chicago Kent College of Law in 1995. - My only previous publication was a more cheerful piece titled ‘A Review of the Historic Foundations of Broker-Dealer Liability for Breach of Fiduciary Duty’ that was published in The Journal of Corporation Law Fall 1997, and has been cited in faraway places: Italy 2002/Japan 2004/The Netherlands 2006/Taiwan, China 2010.

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