http://blog.thelawplanet.com/ en-us 2008-07-21T13:14:09-08:00 http://blog.thelawplanet.com/2008/07/u4_and_u5_expungements_finras.html I have recently received several inquiries regarding expungements of U-4 and U-5 information. I have said this more than once, but "in the old days" an expungement was a piece of cake. The parties agreed to it, whether it was... Marc S. Dobin 2008-07-21T13:14:09-08:00 http://blog.thelawplanet.com/2008/06/cant_write_it_jott_it.html OK, I am a sucker for new technology. I love playing with stuff. I was looking at my Gmail account and an Adword caught my eye for a product called Jott. It promised emails from voice. So I clicked the... Legal Technology Marc S. Dobin 2008-06-28T05:38:46-08:00 http://blog.thelawplanet.com/2008/06/sec_victorious_in_next_financial_customer_information_case.html The securities industry, no doubt, has been waiting for the decision in this case for a while. The Securities and Exchange Commission ("SEC") filed an action against NEXT Financial, Inc., an independent broker-dealer firm. The SEC was rightfully unhappy about... Marc S. Dobin 2008-06-19T06:00:57-08:00 http://blog.thelawplanet.com/2008/06/finra_cracks_down_on_phony_authorship.html We've all seen them - the books and magazines that look like they feature a financial salesperson. In fact, NBC's Dateline program did an expose on annity sales practices. Several of the agents the show targeted had phony ghostwritten articles.... Marc S. Dobin 2008-06-02T04:48:48-08:00 http://blog.thelawplanet.com/2008/05/im_quoted_in_registered_rep_ma.html This is exciting for me and not just because it might make my mother proud. I have read Registered Rep for almost as long as I've been in this business. Sometimes I agree with what is written, sometimes not. I... Items of Interest Marc S. Dobin 2008-05-05T04:44:23-08:00 http://blog.thelawplanet.com/2008/04/ny_court_upholds_u5_immunity.html In another installment of the incompetent/malevolent broker/dealer guidebook, Barclays Capital partially prevailed on a Motion to Vacate Arbitration Award filed against one of its former employees. In Barclays Capital Inc. vs. Elizabeth Bing Shen, 2008 N.Y. Misc. LEXIS 2327, a... Marc S. Dobin 2008-04-28T04:29:39-08:00 http://blog.thelawplanet.com/2008/04/finra_changes_arbitration_hearing_practices.html In an email from FINRA, formerly NASD, dated April 14, 2008, the agency announced that the arbitrators' procedures on damages and closing the hearing will be changing. This is, ostensibly, to unify the scripts between NASD and NYSE arbitration codes.... Securities Arbitration Marc S. Dobin 2008-04-21T04:00:41-08:00 http://blog.thelawplanet.com/2008/03/microsoft_livecom_feature_give.html I admit that there are times when I am easily entertained. And I am an avowed Microsoft-disliker. But I have to hand it to the folks in Redmond, they've got me interested in something. Click on this link. Then hover... Marc S. Dobin 2008-03-31T04:53:46-08:00 http://blog.thelawplanet.com/2008/03/head_shaving_to_cure_cancer.html When I'm not practicing law, you might find me at a Suncoast High School girls' lacrosse game, where I am an assistant coach. Truth be told, I have no special lacrosse talents, but I go there to help, provide some... Items of Interest Marc S. Dobin 2008-03-30T06:12:29-08:00 http://blog.thelawplanet.com/2008/03/why_the_iphone_wont_control_the_world.html I just read another article about how Apple is going to take over the business desktop. Maybe I'm just getting old and surly, but I'm not convinced it's an enterprise device. Here's why. 1) The iPhone keyboard sucks. That's the... Marc S. Dobin 2008-03-21T07:37:00-08:00