Marc’s Blog

A New Contestant in Cold Caller Roulette “-” Geoffrey Garratt from First Standard Financial

A New Contestant in Cold Caller Roulette “-” Geoffrey Garratt from First Standard Financial

Posted by on May 24, 2016 in Cold callers

I received a call today from someone who called himself “Jeff Garrett” from First Standard. The caller ID said “First Standard” with a phone number of 212-359-2934.  So, it took some digging, but I figured out that his name is […]

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An interesting cold call from someone claiming to be Bob Mullic from Murphy Financial Group

An interesting cold call from someone claiming to be Bob Mullic from Murphy Financial Group

Posted by on May 4, 2016 in 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 […]

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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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