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 […]
Browsing Category "Marc’s Blog"
Suleman Din at On Wall Street reports that an Ameriprise broker, David Tysk, managed to keep his career, and his job, even though he was found to have committed a “capital” offense. According to the FINRA Hearing Panel decision, Mr. Tysk […]
A single AAA arbitrator denied all claims for relief against Fonu2, Inc., a publicly-held company headquartered in Fort Lauderdale, Florida. Summit Trading, Ltd., a Bahamian company owned by the Weast Family Trust, filed an arbitration related to a Consulting Agreement entered into […]
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 […]
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 […]
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 […]