Marc’s Blog

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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Carlos Ricca “-” we were all glad to know you.

Carlos Ricca “-” we were all glad to know you.

Posted by on Aug 29, 2014 in Marc's Blog

My second “tour” at Prudential-Bache Securities began in August 1988. Even though I had worked there before, I was told I had to attend orientation. Another lawyer was starting at the same time. His name was Carlos Ricca. We didn’t […]

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A Senior Citizen Scam “-” Michael Lieberman at 866-883-2294 who claims to be from a law firm.

A Senior Citizen Scam “-” Michael Lieberman at 866-883-2294 who claims to be from a law firm.

Posted by on Jul 10, 2014 in Cold callers, Fraud, Marc's Blog

I am not the only lawyer in my family.  My sister, Andrea, is a bankruptcy lawyer in New Jersey.  My dad is a retired lawyer after having practiced 40 years with one firm in Pennsylvania.  I have three other members […]

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Ex-Newbridge Securities Broker Sentenced to Six Years in Prison “-” No Surprise Here.

Ex-Newbridge Securities Broker Sentenced to Six Years in Prison “-” No Surprise Here.

Posted by on Jul 8, 2014 in FINRA, Marc's Blog, securities

The Palm Beach Post reports that Brent Deviney had a gambling addiction.  He blames that gambling addiction for the theft of funds from his in-laws.  If anyone had looked at Deviney’s record with any sort of jaundiced eye, they would have […]

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