Pamela W. Peterson, Esq.

07/20/2019

The engineer in this story is Stan Lebar. Stan and Elaine Lebar were close friends of my parents, John and Jane Peterson, ftom college days at the Univrrsity of Missouri. About ten years ago, we visited them in their house near Washington after seeing the World War II Memorial. Passing through Stan's den, we noticed a model of a WW2 bomber hanging over a desk
My husband asked about it, and that's when i learnef about the insanely courageous role Stan played in the Pacific. Belly gunner. Look it up. The definition of courage.
Stan was awarded a technical Emmy for his lunar camera design. He kept it on top of the TV set. "People think it's a bowling trophy " he said, grinning.

The Apollo 11 moon landing was captured on a Westinghouse Lunar TV camera and broadcast to the world on July 20, 1969. Scott Lebar wrote about his father Stan Lebar’s efforts to find the missing original tapes.

06/15/2019

SEC finally announces a " best interests" regulation for brokers. Over a span of decades, they argued against fee-per-trade billing (it tempted bad brokers to "churn" accounts) and then against asset-based billing because, even if it aligned the interests of the broker and client, it might be more money than per-trade billing. Damned if you do, damned if you don't. New reg should be interesting.....

One hesitates to point this out, but an arithmetical analysis of complaint numbers versus the total number of brokerage and advisory accounts suggests that there is a very, very low level of dissatisfaction on the part of customers. Last time I did this, based on government and agency statistics, less than 2/10ths of 1 percent of accountholders wrote or e-mailed the SEC and FINRA each year with a complaint, some of which were truly minor in any case.

01/01/2019

I generally don't find Facebook a great place to discuss legal questions. Yet, here is a page about my law office; how can I explain that?

This page is here to lead you to the best place to find out about my legal expertise: the world of municipal securities for dealer firms and their personnel. Underwriting, trading and selling them. Complying with the rules of the MSRB, the SEC, and yes, some FINRA rules. I also advise on how to comply with the rules governing Municipal Advisors (whether you or your firm want to do this work or not.) Dealing with regulatory inquiries and exams.

Just for the record, I don't do civil litigation, criminal defense, landlord-tenant disputes, real estate closings, or wills and trusts. But I'm happy to recommend competent people who do those things. I get no "referral fees". Just happy to see you in the hands of someone who can help.

See https://www.mcdcconsultant.com/ for the real details.

Thanks for stopping by.

Compliance Consulting for Municipal Securities Dealers