Marc’s Blog

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 […]

Readmore

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 […]

Readmore

A warm cold caller welcome to Larry Scott of Salomon Whitney Financial LLC.

A warm cold caller welcome to Larry Scott of Salomon Whitney Financial LLC.

Posted by on Feb 17, 2015 in Cold callers

Today’s contestant in “Is Marc Dobin an idiot?” is Larry Scott from the venerable (not) firm of Salomon Whitney Financial.  Larry’s claim to fame is two criminal disclosures on his Brokercheck report (both for marijuana possession) and working for a […]

Readmore

I am ambivalent about Avvo and here is why.

I am ambivalent about Avvo and here is why.

Posted by on Jan 30, 2015 in Law office technology, Marc's Blog

As the son of a lawyer, I kind of knew about Martindale-Hubbell ratings.  As a new lawyer, I knew that I wanted that Av Martindale-Hubbell rating.  It meant that my peers thought highly of my work and ethics.  When I […]

Readmore

Merrill Lynch fined for late U5 filing

Merrill Lynch fined for late U5 filing

Posted by on Jan 21, 2015 in Fraud, Stockbroker issues

The U-5, the Uniform Termination Notice, is an important part of the information flow in the securities industry.  When a Registered Representative leaves a firm, a U-5 must be filed.  The firm has 30 days to do so.  Most firms […]

Readmore