Articles by " Marc Dobin"

FINRA issues expungement guidance and gets its own rules wrong.

FINRA issues expungement guidance and gets its own rules wrong.

Posted by on Sep 10, 2014 in Marc's Blog

It has been so long that I can’t remember my first expungement request. If it’s for the client I think it is, he’s still working as a broker. FINRA, the organization that is overseeing the expungement process in arbitration, issued […]

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LVMH enters into agreement with Google, but does it go far enough?

LVMH enters into agreement with Google, but does it go far enough?

Posted by on Sep 4, 2014 in Marc's Blog

I’ve had some dealings with Google and how it deals with customer trademarks. Google’s basic policy was that a trademark, or a recognizable variation of it, could not appear in an Adword display or paid search results. So if a […]

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Carlos Ricca “-” we were all glad to know you.

Carlos Ricca “-” we were all glad to know you.

Posted by on Aug 29, 2014 in Marc's Blog

My second “tour” at Prudential-Bache Securities began in August 1988. Even though I had worked there before, I was told I had to attend orientation. Another lawyer was starting at the same time. His name was Carlos Ricca. We didn’t […]

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A Senior Citizen Scam “-” Michael Lieberman at 866-883-2294 who claims to be from a law firm.

A Senior Citizen Scam “-” Michael Lieberman at 866-883-2294 who claims to be from a law firm.

Posted by on Jul 10, 2014 in Cold callers, Fraud, Marc's Blog

I am not the only lawyer in my family.  My sister, Andrea, is a bankruptcy lawyer in New Jersey.  My dad is a retired lawyer after having practiced 40 years with one firm in Pennsylvania.  I have three other members […]

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Ex-Newbridge Securities Broker Sentenced to Six Years in Prison “-” No Surprise Here.

Ex-Newbridge Securities Broker Sentenced to Six Years in Prison “-” No Surprise Here.

Posted by on Jul 8, 2014 in FINRA, Marc's Blog, securities

The Palm Beach Post reports that Brent Deviney had a gambling addiction.  He blames that gambling addiction for the theft of funds from his in-laws.  If anyone had looked at Deviney’s record with any sort of jaundiced eye, they would have […]

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Wait.  There are corrupt public officials?  SEC enjoins a municipal bond offering.

Wait. There are corrupt public officials? SEC enjoins a municipal bond offering.

Posted by on Jun 26, 2014 in Marc's Blog

This is unbelievable. The city of Harvey (named after the invisible rabbit?), Illinois, is the subject of an injunction order obtained by the SEC which alleges that its offering documents are fraudulent. I don’t even know where to begin. Let’s see […]

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Coastal Equities Cold Calls Again. Welcome Back.

Coastal Equities Cold Calls Again. Welcome Back.

Posted by on Jun 25, 2014 in Cold callers, Cold Callers, Marc's Blog

A New York number rang up. It was “Clark” from Coastal Equities. Coastal Equities has called me before and I’ve asked them to not call me again. I asked “Clark” for his last name. He told me it was “Pennington”. […]

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Dobin Law Group interviewed on VOIP use.

Dobin Law Group interviewed on VOIP use.

Posted by on May 8, 2014 in Law office technology

Well, it didn’t involve lights and cameras, more like an informative email exchange. Our VOIP provider, OnSip, asked me a few questions and turned it into a blog post here. I did receive my first web- based call yesterday. It […]

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SEC stops pension administrator but 22 million dollars are missing.

SEC stops pension administrator but 22 million dollars are missing.

Posted by on Apr 30, 2014 in Marc's Blog

This makes me angry and sad at the same time.  The SEC announced that it has shut down American Pension Services, a pension administrator in Utah. The principal of APS was investing customer money in stuff that he shouldn’t have.  These […]

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A Cold Caller Follows the Rules. News at 11.

A Cold Caller Follows the Rules. News at 11.

Posted by on Apr 28, 2014 in Cold callers, Marc's Blog

I received a call from Steve at Coastal Equities.  It was a New York number.  I was so shocked that he was polite that I forgot to get his last name. He started into his script about “investment-grade” and I […]

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