The Caller ID said “Unknown”. The voice on the other end of the line identified himself as Colin McCarthy from Aegis Capital. Oddly enough, that was his real name. Colin told me that we spoke about 6 months ago and […]
Browsing Category "Marc’s Blog"
So the phone rang up “Unkown” on the Caller ID. I answered. It was a higher-pitched male voice who identified himself as “Bob Mullic.” He reminded me that we spoke before and I told him to call me back with […]
I couldn’t bring myself to send another email blast with bad news. But I could not let Bill’s passing go by without noting it. I didn’t know Bill until I came to Florida in 1993. I always liked dealing with […]
A couple of years ago, “Jerry” or “Gerry” from a brokerage firm in New York called me. You can read about it here. I pointed out in the post that the caller ID had a bogus number and that the bogus number […]
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. […]
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 […]