Browsing Category "Marc’s Blog"

Ameriprise broker’s career survives alteration of computer records.

Ameriprise broker’s career survives alteration of computer records.

Posted by on Oct 16, 2014 in 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 […]

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Dobin Law Group Successfully Represents FONU2, Inc. in AAA Arbitration.

Dobin Law Group Successfully Represents FONU2, Inc. in AAA Arbitration.

Posted by on Oct 2, 2014 in arbitration, Marc's Blog

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 […]

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A scam email that I just have to share.

A scam email that I just have to share.

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

I received this one today.  I find it hard to believe that someone would fall for this, but if a woman thinks it’s smart to put their child in the trunk to avoid a car-seat ticket, then I guess there’s […]

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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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