How Starting an Investment Firm Almost Landed Me in a Federal Prison

I’m personally familiar with how easy it is to find oneself in legal jeopardy. A few decades ago, I came dangerously close to being indicted, not because I’d broken the law but due to a bizarre confluence of circumstances.

Only a few people know this part of my history. Those who do tell me the following story sounds like a tale from a book or a movie. Long before I began writing, people encouraged me to write a book about this episode of my life.

So about a year and a half ago, I decided to do just that. I began working on a memoir. In addition to the story that follows, the final product will chronicle my finance career, a journey that began in the early eighties in the Deep South and ended decades later on Wall Street.

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