Articles by " Marc Dobin"

A New Contestant in Cold Caller Roulette “-” Geoffrey Garratt from First Standard Financial

A New Contestant in Cold Caller Roulette “-” Geoffrey Garratt from First Standard Financial

Posted by on May 24, 2016 in Cold callers

I received a call today from someone who called himself “Jeff Garrett” from First Standard. The caller ID said “First Standard” with a phone number of 212-359-2934.  So, it took some digging, but I figured out that his name is […]

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An interesting cold call from someone claiming to be Bob Mullic from Murphy Financial Group

An interesting cold call from someone claiming to be Bob Mullic from Murphy Financial Group

Posted by on May 4, 2016 in Marc's Blog

So the phone rang up “Unkown” on the Caller ID. I answered. It was a higher-pitched male voice who identified himself as “Bob Mullic.” He reminded me that we spoke before and I told him to call me back with […]

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We lost another good person who happened to be a lawyer – Bill Nortman

We lost another good person who happened to be a lawyer – Bill Nortman

Posted by on Mar 25, 2016 in Marc's Blog

I couldn’t bring myself to send another email blast with bad news. But I could not let Bill’s passing go by without noting it. I didn’t know Bill until I came to Florida in 1993. I always liked dealing with […]

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Apparently, a cold caller might read my blog “-” Revised

Apparently, a cold caller might read my blog “-” Revised

Posted by on Mar 3, 2016 in Cold callers, Marc's Blog

A couple of years ago, “Jerry” or “Gerry” from a brokerage firm in New York called me.  You can read about it here.  I pointed out in the post that the caller ID had a bogus number and that the bogus number […]

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Credit Suisse's going-away present to the brokerage industry.

Credit Suisse's going-away present to the brokerage industry.

Posted by on Feb 3, 2016 in arbitration, Marc's Blog

So I’ve been in the securities business for over 30 years now.  For as long as I can remember, disputes between brokers and their firms went to NASD, then FINRA, arbitration.  The U-4 says it.  The FINRA Manual says it. […]

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On Wall Street agrees with me.

On Wall Street agrees with me.

Posted by on Nov 2, 2015 in Stockbroker issues

So I haven’t written in a while.  I apologize to the three people who actually read my blog.  But this struck me.  On Wall Street magazine recently posted an article discussing the wisdom of firing clients.  I wholeheartedly agree. I’ve […]

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A warm, cold calling, welcome to someone from Morgan Wilshire “-” Revised

A warm, cold calling, welcome to someone from Morgan Wilshire “-” Revised

Posted by on Feb 20, 2015 in Cold callers

Note:  This post was revised in March 2016 after receiving communication from the original subject of the post and giving consideration to the fact that he might be telling the truth.  The original call I described did occur, but I have […]

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A warm cold caller welcome to Larry Scott of Salomon Whitney Financial LLC.

A warm cold caller welcome to Larry Scott of Salomon Whitney Financial LLC.

Posted by on Feb 17, 2015 in Cold callers

Today’s contestant in “Is Marc Dobin an idiot?” is Larry Scott from the venerable (not) firm of Salomon Whitney Financial.  Larry’s claim to fame is two criminal disclosures on his Brokercheck report (both for marijuana possession) and working for a […]

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I am ambivalent about Avvo and here is why.

I am ambivalent about Avvo and here is why.

Posted by on Jan 30, 2015 in Law office technology, Marc's Blog

As the son of a lawyer, I kind of knew about Martindale-Hubbell ratings.  As a new lawyer, I knew that I wanted that Av Martindale-Hubbell rating.  It meant that my peers thought highly of my work and ethics.  When I […]

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Merrill Lynch fined for late U5 filing

Merrill Lynch fined for late U5 filing

Posted by on Jan 21, 2015 in Fraud, Stockbroker issues

The U-5, the Uniform Termination Notice, is an important part of the information flow in the securities industry.  When a Registered Representative leaves a firm, a U-5 must be filed.  The firm has 30 days to do so.  Most firms […]

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