Marc’s Blog

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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Wells Fargo Advisors, LLC pays money in two promissory note cases.

Wells Fargo Advisors, LLC pays money in two promissory note cases.

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

This is a bit of “man bites dog” news.  The overwhelming majority of promissory note arbitration cases filed by brokerage firms result in awards to the firms.  This does not account for settlements, which may or may not be for […]

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A rookie cold caller – Michael Valeri from Lampert Capital Markets, Inc.

A rookie cold caller – Michael Valeri from Lampert Capital Markets, Inc.

Posted by on Feb 24, 2014 in Marc's Blog

Mike Valeri from Lampert Capital Markets just called me.  He said we spoke a long time ago and that I said I already had too many brokers in New York. Of course, both of these are untrue statements.  First, Mike […]

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Make LinkedIn more useful for your practice.

Make LinkedIn more useful for your practice.

Posted by on Feb 19, 2014 in Marc's Blog

I know, I know. Where is the curmudgeon? He’s taking a rest. Actually, I’m not that much of a curmudgeon, it’s just that stuff has put me in a bad mood lately. But tonight I will be a speaker at […]

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