Broker-Dealer Compliance is a concise yet comprehensive guide that reviews the state of broker-dealer compliance, both from general and practical perspectives. While the book has a practical focus, it also makes use of legal scholarship and behavioral and organizational literature on compliance that have grown exponentially in recent years. James Fanto discusses the main, well-established elements and practices in a broker-dealer compliance program and illustrates them with case studies and practical examples drawn from real-life situations to demonstrate the goals of a particular program element and problems in its implementation. Moreover, each chapter highlights the pressures on compliance officers and the trends that collectively may transform compliance practice in a particular area. Professionals in broker-dealer and investment firm compliance practice will find this book a readable introduction to the field. Experienced practitioners can refresh their knowledge and even learn something new about brokerage compliance program elements and practices.

Broker-Dealer Compliance is a concise yet comprehensive guide that reviews the state of broker-dealer compliance, both from general and practical perspectives. While the book has a practical focus, it also makes use of legal scholarship and behavioral and organizational literature on compliance that have grown exponentially in recent years. James Fanto discusses the main, well-established elements and practices in a broker-dealer compliance program and illustrates them with case studies and practical examples drawn from real-life situations to demonstrate the goals of a particular program element and problems in its implementation. Moreover, each chapter highlights the pressures on compliance officers and the trends that collectively may transform compliance practice in a particular area. Professionals in broker-dealer and investment firm compliance practice will find this book a readable introduction to the field. Experienced practitioners can refresh their knowledge and even learn something new about brokerage compliance program elements and practices.

Rozalia Alone"is the story of a young girl's ability to navigate through different cultures and mentalities during shattering historic events. Born in Romania to a Christian Mother and a Jewish Father, she experiences the horrors and atrocities of Pogroms and World War II. Through the combination of sheer luck and the flexibility of a contortionist with an inordinate appetite for life, she escapes to Brazil. While she discovers the new continent, her sensuality is awakened by a man older than herself. Her search for the aunt who prepared her intellectual development in childhood and arranged for her escape, leads ultimately to a playful relationship with a husband whose universe is radically unlike her own. Permanently bruised, unable to forget the atrocities she has witnessed, Rozalia eventually finds motivation and success in her work. A spectator to greed, corruption, treachery and crime, she becomes involved in the quest for justice. She wins her fight, not in the courts of law, but by surviving life's tribulations with irony and humor. "An engaging, disturbing, charming, elegant, teasing, lush, lean and altogether desirable writing. I was moved, I was pleased, I was teased, I did laugh." Clinton Smullyan Bibliophile "One has known Rosita Fanto as an artist. We knew her as a memoirist. And now we know her to be a genuine novelist. And in fact an epic one. I was not prepared for what turns out to be the sweep of her tale, from the thirties in Romania to Brazil and Europe, from rural and urban Romania to the jungles of Brazil and the heights of luxury in Rio, London and the south of France over a span of decades. It could all make a fascinating movie or miniseries-and should. Morris Beja Author of James Joyce: A Literary Life, Film and Literature, and other books. Professor Emeritus, The Ohio State University

For decades, smiling images of "Aunt Jemima" and other historical and fictional black cooks could be found on various food products and in advertising. Although these images were sanitized and romanticized in American popular culture, they represented the untold stories of enslaved men and women who had a significant impact on the nation's culinary and hospitality traditions, even as they were forced to prepare food for their oppressors. Kelley Fanto Deetz draws upon archaeological evidence, cookbooks, plantation records, and folklore to present a nuanced study of the lives of enslaved plantation cooks from colonial times through emancipation and beyond. She reveals how these men and women were literally "bound to the fire" as they lived and worked in the sweltering and often fetid conditions of plantation house kitchens. These highly skilled cooks drew upon knowledge and ingredients brought with them from their African homelands to create complex, labor-intensive dishes. However, their white owners overwhelmingly received the credit for their creations. Deetz restores these forgotten figures to their rightful place in American and Southern history by uncovering their rich and intricate stories and celebrating their living legacy with the recipes that they created and passed down to future generations.

In grocery store aisles and kitchens across the country, smiling images of "Aunt Jemima" and other historical and fictional black cooks can be found on various food products and in advertising. Although these images are sanitized and romanticized in American popular culture, they represent the untold stories of enslaved men and women who had a significant impact on the nation's culinary and hospitality traditions even as they were forced to prepare food for their oppressors. Kelley Fanto Deetz draws upon archaeological evidence, cookbooks, plantation records, and folklore to present a nuanced study of the lives of enslaved plantation cooks from colonial times through emancipation and beyond. She reveals how these men and women were literally "bound to the fire" as they lived and worked in the sweltering and often fetid conditions of plantation house kitchens. These highly skilled cooks drew upon skills and ingredients brought with them from their African homelands to create complex, labor-intensive dishes such as oyster stew, gumbo, and fried fish. However, their white owners overwhelmingly received the credit for their creations. Focusing on enslaved cooks at Virginia plantations including Thomas Jefferson's Monticello and George Washington's Mount Vernon, Deetz restores these forgotten figures to their rightful place in American and Southern history. Bound to the Fire not only uncovers their rich and complex stories and illuminates their role in plantation culture, but it celebrates their living legacy with the recipes that they created and passed down to future generations.

The Secret of the Light is a collection of inspirations and experiences within the life journey of a shaman living in the West. The journey, though it starts in the West, began a long time ago. Sons of what history calls slaves or the transformation of kings, the essence of the season, the culture and the art of the ancestors became the foundation and corner stone that withstood and nourished through time. The purpose for writing down my experiences was not only to share them but to present them as tools that have made my life's journey more peaceful and prosperous. Through time, many art forms have been lost while miraculously only one has remained. It is my hope that by sharing this art, that others can also reconnect with their source and begin the aspect of their journey that focuses on healing and the nurturing of their lives. Nothing is truly new under the Sun.

Rozalia Alone"is the story of a young girl's ability to navigate through different cultures and mentalities during shattering historic events. Born in Romania to a Christian Mother and a Jewish Father, she experiences the horrors and atrocities of Pogroms and World War II. Through the combination of sheer luck and the flexibility of a contortionist with an inordinate appetite for life, she escapes to Brazil. While she discovers the new continent, her sensuality is awakened by a man older than herself. Her search for the aunt who prepared her intellectual development in childhood and arranged for her escape, leads ultimately to a playful relationship with a husband whose universe is radically unlike her own. Permanently bruised, unable to forget the atrocities she has witnessed, Rozalia eventually finds motivation and success in her work. A spectator to greed, corruption, treachery and crime, she becomes involved in the quest for justice. She wins her fight, not in the courts of law, but by surviving life's tribulations with irony and humor. "An engaging, disturbing, charming, elegant, teasing, lush, lean and altogether desirable writing. I was moved, I was pleased, I was teased, I did laugh." Clinton Smullyan Bibliophile "One has known Rosita Fanto as an artist. We knew her as a memoirist. And now we know her to be a genuine novelist. And in fact an epic one. I was not prepared for what turns out to be the sweep of her tale, from the thirties in Romania to Brazil and Europe, from rural and urban Romania to the jungles of Brazil and the heights of luxury in Rio, London and the south of France over a span of decades. It could all make a fascinating movie or miniseries-and should. Morris Beja Author of James Joyce: A Literary Life, Film and Literature, and other books. Professor Emeritus, The Ohio State University