Marc’s Blog

We lost another good person who happened to be a lawyer – Bill Nortman

We lost another good person who happened to be a lawyer – Bill Nortman

Posted by on Mar 25, 2016 in Marc's Blog

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 […]

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Apparently, a cold caller might read my blog “-” Revised

Apparently, a cold caller might read my blog “-” Revised

Posted by on Mar 3, 2016 in Cold callers, Marc's Blog

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 […]

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Credit Suisse's going-away present to the brokerage industry.

Credit Suisse's going-away present to the brokerage industry.

Posted by on Feb 3, 2016 in arbitration, Marc's Blog

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. […]

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On Wall Street agrees with me.

On Wall Street agrees with me.

Posted by on Nov 2, 2015 in Stockbroker issues

So I haven’t written in a while.  I apologize to the three people who actually read my blog.  But this struck me.  On Wall Street magazine recently posted an article discussing the wisdom of firing clients.  I wholeheartedly agree. I’ve […]

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A warm, cold calling, welcome to someone from Morgan Wilshire “-” Revised

A warm, cold calling, welcome to someone from Morgan Wilshire “-” Revised

Posted by on Feb 20, 2015 in Cold callers

Note:  This post was revised in March 2016 after receiving communication from the original subject of the post and giving consideration to the fact that he might be telling the truth.  The original call I described did occur, but I have […]

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