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. […]
Articles by " Marc Dobin"
I received a call yesterday from an “unknown” caller ID with an “unknown” number. I answered it. Lucky for me, it was Rich Pollan of Morgan Wilshire Securities, Inc. I knew I would be entertained. Rich “reminded” me that we […]
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 […]
OK, so it’s been a while. What with Thanksgiving, Hannukah, Christmas, New Years and a family trip, I wasn’t that focused on sharing my thoughts with the world. But today something struck me. On Wall Street reported that a broker in Washington […]
Insurance is in the news. Suzanne Barlyn writes in Reuters that our friends at PIABA want insurance to be mandatory. Their solution to the unavailability of insurance? Don’t do the business. My problem with this is that FINRA seems committed to […]