In The News

The termination of a Morgan Stanley broker was discussed on AdvisorHub

Marc Dobin commented on the denial of an injunction for AdvisorHub. July 25, 2017

AdvisorHub asked Marc Dobin his thoughts on a recent Raymond James FINRA settlement. March 9, 2016

An arbitration brought by Credit Suisse against UBS was published on AdvisorHub featuring Marc Dobin’s comments.  December 11, 2015.

On Wall Street asked Marc Dobin what he thought about a FINRA disciplinary decision.  October 15, 2014

Marc Dobin was quoted in Investment News regarding Morgan Stanley’s $3,000,000 arbitration award against Vladimir Eydelman.  September 29, 2014

Reuters quotes Marc Dobin on the upcoming FINRA review of the broker bonus disclosure rule. September 17, 2014 quotes Marc Dobin on the results of a Charles Schwab raiding case. September 4, 2014.

FINRA’s position on expungements was the topic of an Investment News article quoting Marc Dobin.  May 16, 2014

Mason Braswell at Investment News quoted Marc Dobin on a lawsuit brought to stop the collection of training contract costs. March 24, 2014

Marc Dobin is quoted in Reuters on problems with the BrokerCheck system. March 6, 2014

Investment News quotes Marc Dobin on FINRA’s proposed rule limiting expungement language in settlement agreements. February 13, 2014

Marc Dobin quoted in Investment News on FINRA proposal to allow for mid-case disciplinary referrals. February 3, 2014

Reuters‘ Suzanne Barlyn quotes Marc Dobin on the November 2013 FINRA arbitration statistics. January 8, 2014

The importance of emails was discussed with the Wall Street Journal. May 30, 2013

Marc Dobin quoted on the issue of Brokercheck Disclosures.  May 16, 2013

Businessweek interviewed Marc Dobin on bonus disclosure proposals.  December 14, 2012

Wall Street Journal comments by Marc Dobin on apologizing to customers for problems. October 29, 2012 article quoting Marc Dobin on Auction Rate Securities U-4 and U-5 disclosures.  November 6, 2011

Read The Failure Chain where Marc Dobin describes how bad brokers can stay in the system and how clients can get hurt.  April 1, 2008

Marc Dobin was one of two lawyers representing aggrieved investors in an arbitration award of $5.4 Million dollars against Securities America.  Read about it here from August 2003.

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