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Posts Tagged ‘Mark Mensack case’

Mensack v Morgan Stanley, FINRA

Posted by Larry Doyle on February 26th, 2013 5:43 AM |

What do you think you would do if in the process of appealing a case, you were informed that the court stenographer had “somehow” lost (deleted or destroyed, perhaps??) 8 hours of testimony? Do you think you might be a little pissed off?

Just a little?

Mind you, what if the 8 hours of “lost” testimony were not just any 8 hours. That is, they were not the first 8 hours. They were not the last 8 hours. What if they were 8 hours of selected intermittent testimony including key points when the plaintiff alleges the defendant perjured himself?

Must be a banana republic and kangaroo court for such a gross injustice to have transpired, right?  (more…)

Attention: All Investment Advisers and Investors…

Posted by Larry Doyle on May 3rd, 2012 7:29 AM |

The financial regulatory landscape is poised to change and, as far as I am concerned, not necessarily for the better.

Will you be merely a spectator or do you care to participate in the legislative process that WILL impact most of you? Are you an investment adviser? Are you an investor with funds managed by an investment adviser?

If you fall into either of those camps, I exhort you to get involved. I encourage you to become part of the process and the solution and not merely a bystander. How so? Let’s navigate.  (more…)






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