Marc’s Blog

My job was crappy this week.  Literally.

My job was crappy this week. Literally.

Posted by on Apr 18, 2014 in Marc's Blog

I have had a variety of things left on my doorstep over the course of my career.  But Monday’s “present” took the cake.  (Maybe that’s a bad expression in this case). I was minding my own business when a client […]

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FINRA Dispute Resolution Statistics Show No Advantage To All-Public Panel

FINRA Dispute Resolution Statistics Show No Advantage To All-Public Panel

Posted by on Apr 9, 2014 in arbitration, FINRA, securities

I keep waiting to be wrong.  In fact, there are many instances where I am wrong.  But I don’t think I am in this instance. FINRA has released its latest arbitration statistics and the hand-wringing and stat-twisting from the Claimants’ bar will […]

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Reflecting on Three Mile Island – 35 years later.

Reflecting on Three Mile Island – 35 years later.

Posted by on Apr 3, 2014 in Marc's Blog

I was in my second semester as a freshman at Franklin & Marshall College in Lancaster, PA.  We had returned from Spring Break on Sunday.  We started hearing about environmental issues on the radio starting around Wednesday.  Then we found out […]

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SEC files insider trading charges involving Post-it note eating.

SEC files insider trading charges involving Post-it note eating.

Posted by on Mar 19, 2014 in Fraud, Securities Regulation

OK, here’s a tip.  If you feel compelled to eat Post-it notes or napkins because you don’t want someone to know what you’re doing, your conduct is probably bad.  Apparently, the “middleman” in this insider trading scheme didn’t see anything […]

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Microcap fraudster stopped by SEC

Microcap fraudster stopped by SEC

Posted by on Mar 18, 2014 in Marc's Blog, securities, Securities Regulation

Are people really this stupid?  Really.  Are they this stupid?  This removes my faith in humanity. A guy holds a large position in a thinly traded penny stock.  He uses nominees offshore to do it.  He then sends an email […]

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