Browsing Category "Marc’s Blog"

PIABA wants mandatory insurance.  It won’t work.

PIABA wants mandatory insurance. It won’t work.

Posted by on Nov 25, 2014 in Marc's Blog

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 […]

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Be on the lookout for fake IRS calls.

Be on the lookout for fake IRS calls.

Posted by on Nov 20, 2014 in Marc's Blog

For the second time in a week, I received a robocall claiming to be the IRS.  It was a computerized voice.  It wasn’t Stephen Hawking playing a joke on me, either.  I don’t know him.  But I guess he could […]

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Regulatory double standards gall me.

Regulatory double standards gall me.

Posted by on Nov 6, 2014 in Marc's Blog

I represent brokers in regulatory matters.  It always amazes me at the lengths to which a regulator might go to get a result that could be spun in their favor.  I have also dealt with reasonable regulators who take all […]

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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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