Browsing Category "Marc’s Blog"

Florida Supreme Court rules – Statute of Limitations Applies to Securities Arbitration

Florida Supreme Court rules – Statute of Limitations Applies to Securities Arbitration

Posted by on May 21, 2013 in Marc's Blog

The application of a limitations period in arbitration has always been a source of controversy. FINRA has its famous “six year rule.” But other than that, there didn’t seem to be much order when it came to applying a time […]

Readmore

Corporate Billing Policies – Proof They are a Joke.

Corporate Billing Policies – Proof They are a Joke.

Posted by on May 20, 2013 in arbitration, securities

Within the last 20 years, corporate billing policies have become much more prevalent. This was a result, in my opinion, of lawyers and law firms becoming pigs and billing for ridiculous things and outrageous amounts. Most law firms, chastened by […]

Readmore

The latest cold call cowboy – Spencer Trask & Co.

The latest cold call cowboy – Spencer Trask & Co.

Posted by on May 15, 2013 in Marc's Blog

Again, someone didn’t do their homework. This time it was Thomas Charpie from Spencer Trask Ventures, which is related to Spencer Trask & Co.. He introduced himself then told me that his firm works exclusively with attorneys. I told him […]

Readmore

Things I learned at an arbitration with Wells Fargo Advisors last week.

Things I learned at an arbitration with Wells Fargo Advisors last week.

Posted by on May 15, 2013 in arbitration, securities, Stockbroker issues

As you might know, I handle a lot of securities arbitrations. I usually end up learning a thing or two during the course of the arbitration. I thought I’d share some things with you. 1 – Wells Fargo Advisors does […]

Readmore

Can cold callers read?  Note to John Carris Investments: You can stop calling me, too.

Can cold callers read? Note to John Carris Investments: You can stop calling me, too.

Posted by on Apr 10, 2013 in Marc's Blog

So last week I wrote about my conversation with Joseph Gunnar Investments in New York. I don’t like getting cold called. At the end of the piece, I wrote that my phone logs showed calls from John Carris Investments. Another […]

Readmore

I am not immune to cold calls. Note to Joseph Gunnar, stop calling me.

I am not immune to cold calls. Note to Joseph Gunnar, stop calling me.

Posted by on Apr 1, 2013 in FINRA, Investment Advisors, Stockbroker issues

I’ve been getting cold calls lately. I don’t know what list I got on, but they’re a pain in the neck. First of all, it’s never a large wirehouse broker who calls. It’s always some guy with a New York […]

Readmore

CFTC shuts down alleged commodities scam in South Florida.

CFTC shuts down alleged commodities scam in South Florida.

Posted by on Feb 28, 2013 in Marc's Blog

When I reopened this practice in 2010 as a solo practitioner, we rented space in the Crexent office center in Jupiter, Florida. It is one of those office suite concepts where you give them your credit card and they provide […]

Readmore

Morgan Stanley Wealth Management Ordered to Pay 1 Million Dollars in FINRA Arbitration.

Morgan Stanley Wealth Management Ordered to Pay 1 Million Dollars in FINRA Arbitration.

Posted by on Jan 7, 2013 in arbitration, FINRA, Marc's Blog

We had the distinct privilege of representing Greg Torretta in an arbitration against Morgan Stanley Wealth Management (formerly known as Morgan Stanley Smith Barney). Greg worked for Morgan Stanley and its predecessor companies for 26 years. He started as a […]

Readmore

Facebook and Instagram update privacy policies, freeloaders foam at the mouth.

Facebook and Instagram update privacy policies, freeloaders foam at the mouth.

Posted by on Dec 18, 2012 in Marc's Blog

First, a disclosure. I was sucked in by the Facebook hype. I have lost money on the stock, on paper. It’s OK. I’ll live. Now, on to today’s topic, the disclosure of a change to the privacy policies of Facebook […]

Readmore

Thoughts on being a poll watcher on election day 2012

Thoughts on being a poll watcher on election day 2012

Posted by on Nov 7, 2012 in Marc's Blog

I have been a lawyer for over 25 years. I have been blessed with representing any number of clients who have a special place in my heart. I have had clients whose financial picture changed because of the results I […]

Readmore