August 26, 2020 Adventures in the Law

Caught Blue-Handed

Tom Lykos needed to pass the Series 24 General Securities Principal Exam to keep his job as chief compliance officer and general counsel of a financial services firm. It was his second try.

By Norm Tabler

The good news is that he passed. The bad news is that as he was leaving the exam room, a proctor asked to photograph his hands. Why? Because she had seen him writing on his left hand during the exam, and the ink was still there.

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