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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