As those who know me well are already too aware, rarely does a day go by without some action by a securities regulator that causes me to whine and complain endlessly about a crazy rule or the manner in which it has been applied to my clients, who are, by and large, broker-dealers and the individuals associated with BDs. That’s what 32 years in the securities litigation field will do to a person, especially someone on the defense side, who spends all day fighting enforcement complaints from regulators, or arbitrations brought by former customers. So, when it was suggested to me that I could share these thoughts with others through the magic of the Internet, I figured, why not? That led to the creation of this blog, Ulmer & Berne’s BD Law Corner.

Then, I cleverly realized that there are other lawyers here, also with vast securities experience and serious credentials, whose views on broker-dealer issues would be of interest to anyone who might enjoy my own musings. I say with no small degree of pride that Ulmer & Berne has one of the best groups of broker-dealer lawyers anywhere, no matter how big our competitors may be, no matter in what city they may be located. Accordingly, I invited five of my talented colleagues, with over 100 years of cumulative experience, to share responsibility for the content of this blog with me, so readers will have the opportunity not just to take advantage of our deep pool of securities capabilities, but to hear different voices, with different takes on things that impact broker-dealers.

I invite you, therefore, to subscribe to our blog, and receive email notifications when new content is added, or, if you prefer, simply to follow it through whatever method makes the most sense for you, whether Facebook, Twitter, etc. Either way, I invite your feedback and your questions, to let us know if you agree or disagree with our views, to engage in a dialogue, perhaps, or even if just to let us know you enjoy what we are doing.

Alan Wolper