| 单词 | broker-dealer |
| 例句 | Treasuries could leave the market more exposed to cybersecurity risks, Barclays said, referring to the cyber hack of Industrial and Commercial Bank of China's U.S. broker-dealer last week. Barclays flags Treasuries central clearing cybersecurity risks after ICBC hack 2023-11-15T05:00:00Z ICBC's inability to access its systems meant securities from the Chinese firm's repo trades were getting delivered to BNY for settlement, but no cash was coming in from the broker-dealer, one of the sources said. Inside Wall Street's scramble after ICBC hack 2023-11-13T05:00:00Z "In general, the event had a limited impact on the market," said Scott Skrym, executive vice president for fixed income and repo at broker-dealer Curvature Securities. China's biggest lender ICBC hit by ransomware attack 2023-11-10T05:00:00Z Block trades are single orders for large trades, typically placed by institutional investors, which their broker-dealer drips into the market over time so as not to move the price. Morgan Stanley may pay up to $1 bln to resolve US probe into private stock sales - Semafor 2023-10-31T04:00:00Z That is in contrast to the broker-dealer probes. SEC collects Wall Street's private messages as WhatsApp probe escalates 2023-09-25T04:00:00Z According to the regulator, however, virtually all employees at the broker-dealer, Virtu Americas, were able from January 2018 to April 2019 to access such information about customers and their trades. SEC sues Virtu Financial over failure to safeguard customer information 2023-09-12T04:00:00Z In a statement, Galvin, a Democrat, welcomed Friday's ruling and said he looked forward to proceeding with the New England state's administrative case against Robinhood, which seeks to revoke its broker-dealer license in Massachusetts. Massachusetts court rejects Robinhood's challenge to state investment advice rule 2023-08-25T04:00:00Z Scott Skyrm, executive vice president for fixed income and repo at broker-dealer Curvature Securities, said some repo buyers or cash lenders did not want to accept any bills maturing within a year. Analysis: Wall Street prepares for Treasuries mess as default looms 2023-05-26T04:00:00Z These include broker-dealer, which represents buyers and sellers; the exchange, where assets are traded; and clearinghouse, which acts as a third-party intermediary between buyers and sellers. Seattle crypto exchange Bittrex becomes a poster child in U.S. crackdown 2023-04-18T04:00:00Z James Tabacchi, chief executive of broker-dealer South Street Securities, said he thought the Fed would eventually need to go above 6%. Analysis: Financial or price stability? Fed faces calls to pause 2023-03-18T04:00:00Z The bankruptcy does not include SVB Capital, a venture capital private credit entity, or SVB Securities, a broker-dealer under its own management. Fear dominates markets despite Wall Street rescue for First Republic 2023-03-17T04:00:00Z That 2019 rule requires a broker-dealer making a recommendation to act in the best interest of the retail customer and identify conflicts of interest. Analysis: Will the games stop? SEC mulls crackdown on trading apps 2022-01-26T05:00:00Z An executive at an independent broker-dealer in the repo market who declined to be named said they were still financing Treasury securities for now. Analysis: Wall Street prepares for Treasuries mess as default looms 2023-05-26T04:00:00Z “The Fed waited too long, certainly in our opinion, to wait for inflation to get here and fight it,” said David Petrosinelli, managing director and senior trader at broker-dealer InspereX in New York. Bond markets don't buy hawkish Fed's view on how high U.S. rates can go 2021-12-17T05:00:00Z The deal will combine Griffin's alternative investment solutions in the wealth management space with Apollo's focus on private banks, broker-dealer and family offices, the asset management giant said in a statement on Thursday. Apollo to buy Griffin Capital's wealth-distribution, asset-management units 2021-12-02T05:00:00Z The S.E.C.’s report echoed that concern: “These payments can create a conflict of interest for the retail broker-dealer,” the report said. S.E.C. Describes the GameStop Frenzy, but Not What to Do About It 2021-10-18T04:00:00Z By early 2021, individual investors were increasingly downloading broker-dealer apps and more than 100 stocks experienced large price moves or increased trading volume that significantly exceeded the broader market, the SEC said. Factbox-Fun facts from the U.S. SEC report on January's GameStop saga 2021-10-18T04:00:00Z The broker-dealer executive said the process was cumbersome because maturity dates subsumed several other calculations about the value of the security. Analysis: Wall Street prepares for Treasuries mess as default looms 2023-05-26T04:00:00Z Under the SEC’s previous rules, broker-dealers had to review a company’s financials before providing quotes in its stock on the Pink Market, unless another broker-dealer had already vetted them. U.S. 'pink sheets' in shakeup as securities regulator looks to stamp out fraud 2021-09-23T04:00:00Z Massachusetts regulators cited those messages while alleging MassMutual failed to monitor the social-media accounts of Gill and other employees who were registered as broker-dealer agents in the state, and therefore subject to certain supervision requirements. MassMutual fined for failing to monitor GameStop saga star 2021-09-16T04:00:00Z “If they are the CEO of a shell company that does nothing more than manage the broker-dealer, that’s an issue,” he explained. Is Robinhood really democratizing finance? 2021-07-28T04:00:00Z It is the regulator’s first case charging an order and execution management system that facilitates electronic trading for operating as an unregistered broker-dealer. JPMorgan's Neovest trading platform is fined by U.S. SEC 2021-06-29T04:00:00Z Regulators are asking a hearing officer in the administrative case to consider revoking Robinhood’s registration as a broker-dealer in the state. Massachusetts looks to bar Robinhood in state; company sues 2021-04-16T04:00:00Z The company has signed up 15 major broker-dealer clients ahead of its trading platform’s launch, Diaz said. Nasdaq to host stock trading venue for PureStream Trading Technologies 2021-03-16T04:00:00Z The MassMutual unit where Gill worked prohibits broker-dealer agents from discussing generic securities on social media. MassMutual fined for failing to monitor GameStop saga star 2021-09-16T04:00:00Z “There is more market stress right now because the market is very volatile,” said Scott Skyrm, executive vice president at broker-dealer Curvature Securities. U.S. 10-year Treasuries borrowing rate in repo market goes negative, indicating stress 2021-03-04T05:00:00Z Gill was registered as a broker-dealer and worked as a “financial wellness educational director” for insurance company MassMutual while he was sharing his thoughts on GameStop online. “Mr. Kitty” goes virtually to Washington over GameStop saga 2021-02-18T05:00:00Z Robbins and Merriman are also charged with violating broker-dealer registration provisions. 2 Utah men convicted of fraud charged in $11M scheme 2021-01-09T05:00:00Z Eligible broker-dealer firms must also limit their business to digital asset securities, isolate and mitigate risk in holding these transactions and disclose the risk to customers. U.S. SEC seeks public comment on brokers' custody of digital assets 2020-12-23T05:00:00Z “Investors and traders are likely to be cautious in shorting the market too hard or too far with the Fed in the wings,” said Patrick Leary, chief market strategist at broker-dealer Incapital. Analysis: Betting on further U.S. yield curve steepening? Not so fast! 2020-10-20T04:00:00Z Even the Securities and Exchange Commission issued a formal alert to firms in the broker-dealer business of a ransomware specifically targeted towards them. Here's another virus terrorising businesses and causing havoc: ransomware | Gene Marks 2020-07-16T04:00:00Z “Liquidity will improve together with everything else,” said Patrick Leary, chief market strategist, at broker-dealer Incapital. Fed's big move could help U.S. Treasury liquidity, but effects may not last long 2020-03-23T04:00:00Z The regulator adopted rules to increase transparency around broker-dealer stock order routing and private off-exchange trading venues. U.S. SEC to review stock trading rules in big potential shakeup 2019-03-08T05:00:00Z In the most recent deal, U.S. crypto broker-dealer Voyager Digital on Feb. 11 achieved a “backdoor” listing on Toronto’s Venture Exchange after it bought control of mineral exploration firm UC Resources. Cryptocurrency companies use 'backdoor' listings to ease into... 2019-02-21T05:00:00Z Lorenzo, who served as the investment banking director at a broker-dealer called Charles Vista, sent the emails in 2009 seeking investors for a startup company’s debt offering even though its energy-from-waste technology did not work. U.S. Supreme Court appears reluctant to narrow securities laws 2018-12-03T05:00:00Z DiNapoli’s report found that there are now about 120 firms operating broker-dealer operations on the New York Stock Exchange. Wall Street salaries highest since 2008 crisis, report finds 2018-09-17T04:00:00Z Prosecutors say Seigerman was barred from acting as a broker or otherwise being associated with a broker-dealer firm by the Financial Industry Regulatory Authority in 2016. Prosecutor: Ex-stock broker stole $1.6M, used it to buy home 2018-08-09T04:00:00Z This includes all of Deutsche Bank’s non-branch U.S. assets, including its mortgage lending and debt financing subsidiary, and its sizable Wall Street broker-dealer trading business. Deutsche Bank's U.S. operations fail second leg of Fed stress tests 2018-06-28T04:00:00Z The growing uncertainty over a trade war and what that means for businesses across the country prompted the stock market’s most nervous investors to sell Friday, said Kenny Polcari, managing director at broker-dealer O’Neil Securities. Stocks Plummet Amid Rising U.S.-China Trade Tensions 2018-04-06T04:00:00Z Smith, who worked as a financial planner, was barred from the broker-dealer business since 2010 by the Financial Industry Regulatory Authority, the SEC said. Prominent Houston pastor indicted on charges of defrauding... 2018-03-30T04:00:00Z JPMorgan Chase will pay $2.8 million to settle charges that a broker-dealer unit lacked sufficient controls to safeguard customer securities from several countries over more than eight years, a U.S. regulator said on Wednesday. Consumer confidence dips in December, but remains relatively high 2017-12-27T05:00:00Z The business yielded millions of dollars in commissions for the two broker-dealer firms, of which Kelley and Schonhorn personally took a 35 to 40 percent share, prosecutors said. N.Y. pension fund manager charged with taking bribes pleads guilty 2017-11-08T05:00:00Z Citadel Securities, the broker-dealer unit of the powerhouse founded by Kenneth Griffin, is an example. S.E.C. Rules to Protect Investors From Cyberthreats Fall Short 2017-09-22T04:00:00Z A manager at a broker-dealer “would be an expert in the room,” argued Mr. Shkreli’s lawyer Benjamin Brafman, and the man was dismissed. In Juries, Lawyers Now Favor the Uninformed 2017-07-19T04:00:00Z He said he did this as part of his plan to restore MF Global to profitability and transform it into a full-service broker-dealer. On the stand, Corzine defends bet that led to MF Global demise 2017-03-09T05:00:00Z “I tell them what the commissions are directly from product vendors, and I say the broker-dealer gets a part of the commission that is passed on to us as a registered representative.” Is Your Financial Adviser Acting in Your Best Interest? 2017-02-10T05:00:00Z The business yielded millions of dollars in commissions for the two broker-dealer firms, of which Kelley and Schonhorn personally took a 35 to 40 percent share, prosecutors said. N.Y. pension fund manager charged with taking bribes pleads guilty 2017-11-08T05:00:00Z Lawrence Obracanik, who worked as an operations manager for JPMorgan's broker-dealer services, was charged in a criminal complaint made public on Wednesday in federal court in Manhattan with wire fraud and attempted wire fraud. Ex-JPMorgan employee accused of $5 million scheme to defraud bank 2016-12-08T05:00:00Z Mr. Chiang said he was also suspending making any additional investments in Wells Fargo securities and would suspend the bank’s work as a broker-dealer hired to buy investments on the treasurer’s behalf. California Suspends Ties With Wells Fargo 2016-09-28T04:00:00Z Frerichs was uncertain how much the year-long suspension would cost the bank, which serves as broker-dealer for state investments, but said it likely amounts to millions of dollars. Business roundup: September auto, truck sales better than predicted 2016-10-03T04:00:00Z Frerichs was uncertain how much the yearlong suspension would cost the nation’s second-largest bank, which serves as broker-dealer for state investments, but said it likely amounts to millions of dollars. Business Highlights 2016-10-03T04:00:00Z TD said in September it planned to acquire Albert Fried & Co, a New York-based broker-dealer, as it looks to expand its presence in the U.S. prime brokerage sector. TD looks to acquire corporate loans in United States 2016-09-29T04:00:00Z AIG said in January it would spin off the mortgage insurance unit, cut jobs and sell its broker-dealer network as part of a sweeping overhaul promised to shareholders to fend off activist investor Carl Icahn. AIG to sell unit to Arch Capital for $3.4 billion 2016-08-15T04:00:00Z In fact, the marketing is so clever that the Financial Industry Regulatory Authority, the group that oversees the broker-dealer industry, includes a disclaimer on its website: Meaningless Titles and Empty Promises in the Money Business 2016-07-11T04:00:00Z Turner will become chief executive of Citadel Securities, the broker-dealer unit of a financial firm known for its giant hedge fund arm. Microoft COO Turner leaving for a hedge-fund post 2016-07-07T04:00:00Z AIG rejected Icahn's proposal and outlined its own strategy in January, including spinning off its mortgage insurance unit and selling its broker-dealer network. Icahn, Paulson add transparency, AIG president says 2016-06-15T04:00:00Z An investment advisor, on the other hand, provides advice on the best way to manage your fund then goes through a broker-dealer to execute the plan. 3 Things to Know About Finding a Financial Advisor 2016-06-10T04:00:00Z Under the new rules, companies must raise money through a registered broker-dealer or a funding portal approved by regulators. New Rules Give Startups Access to Main Street Investors 2016-05-11T04:00:00Z But instead, the regulators are asserting that “in reality there is no proceeding under S.I.P.A. and the covered broker-dealer is being liquidated under Title II.” Sorting Out Dodd-Frank’s Treatment of Failed Broker-Dealers 2016-02-25T05:00:00Z The sale of the broker-dealer network, for which financial terms weren’t disclosed, is expected in the second quarter. AIG to Sell Broker-Dealer Network 2016-01-26T05:00:00Z Specifically, the SEC accused the broker-dealer of failing to adequately secure the stock needed to administer a short-selling trade. Goldman Reaches $5 Billion Settlement Over Mortgage-Backed Securities 2016-01-15T05:00:00Z In addition, the SEC devotes more than 200 examiners to examining broker-dealer firms even though the Financial Industry Regulatory Authority, the self-regulatory agency for broker-dealers, examines around 40% of all broker-dealer firms each year. Investment Advisers Don’t Need Mystery Monitors 2015-11-22T05:00:00Z Mr. Galvin is seeking to revoke Realty Capital’s broker-dealer registration in the state. Massachusetts Regulator Says Real Estate Affiliate Faked Proxy Votes 2015-11-12T05:00:00Z Thus, the process would be more like the F.D.I.C. part of the process, and less like a traditional S.I.P.A. broker-dealer proceeding. Sorting Out Dodd-Frank’s Treatment of Failed Broker-Dealers 2016-02-25T05:00:00Z "However, in reality they are often paying high fees for the broker-dealer business platform, marketing, sales management and commissions to brokers." Fees and Charges That Destroy Investors' Portfolios 2015-11-02T05:00:00Z In a news release Monday, Mr. Galvin said for Fidelity “to knowingly allow unregistered activity on their broker-dealer platform is a profound failure of their regulatory obligations.” Fidelity Accused of Acting in an ‘Unethical Manner’ 2015-10-26T04:00:00Z If the failure to examine enough investment managers is a critical problem, why doesn’t the SEC reassign its broker-dealer examiners to begin conducting examinations of investment managers? Investment Advisers Don’t Need Mystery Monitors 2015-11-22T05:00:00Z He was last registered with the state as a broker-dealer agent in 2004. Massachusetts Accuses Fidelity of Failing to Block Unregistered Advisers 2015-10-26T04:00:00Z Practically, it may not amount to much, since the piece of the broker-dealer that the S.I.P.C. is left with will likely be limited, whatever law it is operating under. Sorting Out Dodd-Frank’s Treatment of Failed Broker-Dealers 2016-02-25T05:00:00Z The tool is linked to the user’s brokerage account, so the order would be executed by the broker-dealer rather than by the publisher. Peter Thiel’s Valar Ventures and Citi Ventures Back Stock-Trading Startup 2015-09-08T04:00:00Z It hires an investment bank or broker-dealer to underwrite the IPO. Should You Buy an IPO? 2015-08-10T04:00:00Z But Barclays’ shrinking broker-dealer revenue makes it the top contender for further slippage. Barclays Faces Toughest Test in Investment Banking 2015-07-09T04:00:00Z Citigroup is working as a broker-dealer for the island, handling assignments such as bond tenders and debt exchanges, the person said. Citigroup to Host Monday Meeting with Puerto Rico Bondholders 2015-07-08T04:00:00Z But the important area where it might matter would involve noncustomer creditors of the broker-dealer, or customers asserting such a shortfall. Sorting Out Dodd-Frank’s Treatment of Failed Broker-Dealers 2016-02-25T05:00:00Z Here's the kind of disclosure concerning revenue-sharing payments formulated by one prominent broker-dealer: How a Loophole Could Gut the Department of Labor’s Proposed Fiduciary Rule 2015-04-30T04:00:00Z An average broker-dealer cancels between five and 30 orders for every trade completed, while electronic market makers may cancel closer to 100 trades per order completed, said Noll. 'Flash crash' trader's alleged fraud a common market occurrence 2015-04-22T04:00:00Z He conspired with the long time broker-dealer who used to work with his father. Hidden Dangers With Aging Parents' Financial Advisors 2015-04-13T04:00:00Z His firm is structured as both a broker-dealer and a registered investment advisor, or RIA. Is Your Financial Advisor Working for You? 2015-03-09T04:00:00Z I read this to mean that the S.I.P.C. would conduct a traditional liquidation under the act of the “stub” of the failed broker-dealer. Sorting Out Dodd-Frank’s Treatment of Failed Broker-Dealers 2016-02-25T05:00:00Z Brown, who has over 15 years of experience in quantitative trading, founded Lime Brokerage LLC, an electronic agency broker-dealer catering to automated traders. OpenBondX Brings Innovative Exchange Trading To Fixed Income 2015-02-03T05:00:00Z If there's no customer demand for those orders, the broker-dealer cancels them. 'Flash crash' trader's alleged fraud a common market occurrence 2015-04-22T04:00:00Z He was responsible for establishing and managing anti-money laundering programs for the company's banking, broker-dealer and mutual fund businesses. Exclusive: Amid U.S. probes, Caesars poaches top money laundering expert 2015-02-03T05:00:00Z Remember, advisors often break away from the traditional broker-dealer channel to become independent because they want the ability to act more like entrepreneurs. The Comeback Of The Regional Broker/Dealers 2015-02-03T05:00:00Z Private equity firms are typically registered only as investment advisers, so submitting to broker-dealer regulation would result in more frequent examinations and more rules. Kicking Dodd-Frank in the Teeth 2015-01-10T05:00:00Z “It’s a regulatory headache, and it takes money, time and effort to register as a broker-dealer and to keep up with the ongoing requirements,” he said. Entering the Secret Garden of Private Equity 2014-12-27T05:00:00Z Parry Clark of Jacksonville pleaded guilty to three felony counts of security fraud and one count of fraudulent sale of securities as an unregistered broker-dealer. Man gets 4 years for bilking Indiana investors 2014-12-23T05:00:00Z He even stayed at the firm for three months, most likely surrounded by investigators, hoping to salvage the broker-dealer business, which was, according to USA Today, the “legitimate portion” of Madoff’s Ponzi scheme. Madoff's Ops Manager Sentenced To 10 Years Because He Knew Too Little 2014-12-08T05:00:00Z If a broker-dealer or an investment bank earned too many violations over, say, a six-year period, its securities license would be suspended. The S.E.C. Should Copy the D.M.V. 2014-11-06T05:00:00Z Voya Financial Advisors is a top tier broker-dealer with over 2,400 registered representatives across the country. 5 Social Security Facts You Need to Know 2014-10-28T04:00:00Z Email messages to Clearlake asking about the status of the broker-dealer matter were not returned. Entering the Secret Garden of Private Equity 2014-12-27T05:00:00Z “To do that is really hard,” says Mark Howells, then president of broker-dealer Arizona Securities Group. Potato Chips To Health Food: Inventure And The Future Of Snacktime 2014-10-15T04:00:00Z A broker-dealer he interned at gave him the opportunity to write research notes so he started going into the office between 4 and 5 in the morning to work on them. Plane Ticket Journals -- Capitalism Takes Flight: Scott Osheroff 2014-09-26T04:00:00Z If the next Lending Club happens to be an equity platform, it needs to be a fully compliant broker-dealer and be registered with FINRA. Who will be the next Lending Club? 2014-08-18T04:00:00Z A "comprehensive re-evaluation of broker-dealer regulation is overdue," Rosengren said in remarks prepared for delivery to a conference at the New York Fed on wholesale funding risks. Tougher broker-dealer rules needed, Fed's Rosengren says 2014-08-13T04:00:00Z Wouldn’t that be unfair, the questioner asked, since mutual fund managers and other firms must submit to broker-dealer rules? Private Equity’s Free Pass 2014-07-26T04:00:00Z Their high standards are incompatible with the broker-dealer way of operating. FINRA Supports Regulation to Quell Competition 2014-06-29T04:00:00Z The SEC alleged Weir failed to provide effective written disclosure to a hedge fund client of her ownership of the broker-dealer that was executing securities transactions for the hedge fund. The SEC Puts Teeth Into Dodd-Frank, Takes A Bite For Whistleblowers 2014-06-27T04:00:00Z “Advisers tend to attract people that are within a range of their own age,” said Mr. Clinard, who co-founded North Ridge Securities, an independent broker-dealer based in Melville, N.Y., more than 20 years ago. A Hunt to Find the Next Generation of Financial Planners 2014-06-24T04:00:00Z Paul Konigsberg, a former senior tax partner at Konigsberg Wolf & Co, pleaded guilty to one count of conspiracy and two counts of falsifying the records of a broker-dealer before U.S. Ex-Madoff accountant pleads guilty to aiding fraud 2014-06-24T04:00:00Z He added, “It does not appear difficult to me for a private equity fund adviser to change its practices so it is not engaging in activities that raise broker-dealer status questions.” Private Equity’s Free Pass 2014-07-26T04:00:00Z King, a broker-dealer that she owns, while trading for a hedge fund client, the S.E.C. said on Monday. S.E.C. Fines Firm Over Whistle-Blower Retaliation 2014-06-16T04:00:00Z In the final analysis, the typical hedge fund cybersecurity program will likely look a lot different than that of a broker-dealer or even a very large asset manager. Cybersecurity of hedge fund data 2014-05-29T04:00:00Z Previously Jilliene was a Vice President at Union Bank, where the majority of her time was spent in Private Wealth Management working with the broker-dealer, registered investment advisor, real estate lenders and wealth planners. The Women of Crowdfunding 2014-05-13T04:00:00Z BR Partners also operates a bank and a broker-dealer in Brazil. BR Partners says Moelis' hiring of its Brazil bankers 'unethical' 2014-03-12T18:33:56Z Mr. Bowden’s examiners turned up numerous examples of broker-dealer payments going to unregistered private equity firms. Private Equity’s Free Pass 2014-07-26T04:00:00Z “The broker-dealer and investment adviser registration provisions are core protections for investors,” Andrew J. Ceresney, director of the S.E.C.’s enforcement division, said in a statement. DealBook: Credit Suisse Admits Wrongdoing in S.E.C. Case 2014-02-21T22:30:20Z This is the fourth acquisition by RCS in the last four months as it looks to expand its broker-dealer business through acquisition of small financial services firms. UPDATE 1-RCS Capital to buy broker-dealer Cetera for $1.15 bln 2014-01-16T18:06:54Z For example, a U.S. derivatives business currently booked at a London investment banking hub will be moved to the bank's U.S. broker-dealer unit. Credit Suisse outlines crisis plan to shield Swiss activities 2013-11-21T15:59:25Z Given the risks that broker-dealer funding models pose, and the failure of many of the large broker-dealers during the crisis, it would seem appropriate... Fed Official: Some Banks Need Higher Capital Levels 2013-11-18T06:03:02Z But while private equity firms often operate like Goldman and Morgan Stanley, they are not uniformly subject to the same broker-dealer regulatory regime. Private Equity’s Free Pass 2014-07-26T04:00:00Z Frisch said the part of Madoff's business that conducted the fraud, called investment advisory, was walled off from the broker-dealer business in which he said Bonventre worked, where actual trades were made. Madoff employees were puppets of 'grand master,' defense says 2013-10-17T18:57:03Z The charges include conspiracy to defraud Madoff's clients, securities fraud and falsifying records of a broker-dealer. Bernard Madoff's inner circle goes on trial 2013-10-07T11:18:32Z The firm said in its plan that it would sell or liquidate its broker-dealer business in one worst case scenario. Regulators offer a sneak peak of big banks’ resolution plans 2013-10-03T19:55:09Z The fund is raised by Alternative Currency Asset Management, a wholly-owned unit of SecondMarket, which is acting as the broker-dealer for the fund. SecondMarket Launches First U.S. Bitcoin Fund 2013-09-26T00:00:00Z The submission, reviewed by The New York Times, contends that the 57 largest firms received more than $3.5 billion in fees from 2002 to 2013 while engaging in unregistered broker-dealer activities. Private Equity’s Free Pass 2014-07-26T04:00:00Z Authorities in the United Kingdom and United States are also expected to announce civil settlements against the broker-dealer on Wednesday, sources familiar with the matter told Reuters. U.S. set to reveal criminal charges against ICAP staff in Libor probe: WSJ 2013-09-25T00:14:45Z He renewed his securities license through a small broker-dealer, Legend Securities, run by a friend, and even underwent a medical exam for his student pilot’s certificate. Where Is Dick Fuld Now? Finding Lehman Brothers' Last CEO 2013-09-12T10:59:26Z Every transaction must be managed by a broker-dealer. DealBook: NYSE Euronext to Invest in Start-Up for Private Stock Placements 2013-09-09T02:00:04Z In his latest ruling, Glenn said MF Global's broker-dealer unit, which employed the workers, was shut down not by the MF parent, but by the Securities Investor Protection Corp, which insures customers of failed brokers. Fired MF Global workers to appeal dismissal of lawsuit 2013-09-06T18:34:12Z “Layering broker-dealer regulations on private equity will be of no meaningful benefit to investors and would levy significant costs on private equity firms,” he said in an emailed statement. Private Equity’s Free Pass 2014-07-26T04:00:00Z The advisers joined Raymond James & Associates, the company's traditional employee broker-dealer division. Raymond James hires Morgan Stanley team in Maine 2013-09-05T19:34:39Z The board report said that 783 accounting firms in the country audit at least one broker-dealer — and that 83 percent of those firms audit fewer than six brokerage firms. DealBook: Oversight Board Faults Broker-Dealer Audits 2013-08-19T21:43:38Z Those could lead to monetary penalties, cease-and-desist orders and private lawsuits from customers that could each "materially and adversely affect" its broker-dealer business, the company said. U.S. regulator probing E*Trade's customer order-routing practices 2013-08-06T23:10:32Z FINRA's complaint also said Oppenheimer's money laundering prevention protocols failed to monitor penny stock trading activity even in a case when it identified a foreign broker-dealer as a "high risk" customer. FINRA fines Oppenheimer $1.4 million over penny stocks, internal controls 2013-08-05T19:16:59Z Yet none of the firms’ investment adviser filings say they conduct broker-dealer activities. Private Equity’s Free Pass 2014-07-26T04:00:00Z Thomas Hoenig, vice chairman of the F.D.I.C., also explains clearly that breaking up the banks along functional lines would be helpful – we should aim to separate relatively risky “broker-dealer activities from the federal safety net.” Today's Economist: High Profits Signal Danger for Big Banks 2013-07-18T04:01:26Z The discussion in the SEC's data request "appears to favor imposing the broker-dealer regulatory regime on investment advisers," wrote David Tittsworth, the group's executive director. Investment industry groups scuffle over ethics, costs 2013-07-03T20:29:22Z The company has so far sold its individual life insurance, broker-dealer and retirement plan businesses. Hartford to sell UK annuity business to Berkshire for $258 mln 2013-06-27T11:25:48Z LPL services single independent advisers in a traditional broker-dealer model, pure registered independent advisers and so-called "hybrid" advisers who both manage money for a fee and collect commissions. LPL hires chief risk officer from Morgan Stanley's wealth unit 2013-06-07T18:18:42Z However, the 11,000 brokers working at branches of Wells Fargo Advisors, the bank's principal broker-dealer, are advised only by outside general insurance agents. UBS Americas hires in-house experts to spur life insurance sales 2013-05-15T14:33:53Z Height Securities, for example, is a Washington-based broker-dealer that is regulated by the Securities and Exchange Commission and the Financial Industry Regulatory Authority. Republican senator's bill to target 'political intelligence' firms 2013-05-08T22:35:50Z The bank contended the Abbars weren't customers of its broker-dealer unit, and instead the transactions were put together through various non-U.S. U.S. judge blocks $383 million arbitration case against Citigroup 2013-05-03T18:13:53Z Bank of America keeps some at its broker-dealer and some in a unit that allows it to set aside less capital. DealBook: Banks Ease Capital Cost of Loans to Brokers 2013-05-02T01:20:28Z Ahmed led them to believe that he would acquire an Australian online broker-dealer for $15.6 million in cash by April 2013 and publicly list his company’s stock on a foreign exchange, the complaint said. Regulator: NFL, NBA players scammed by owner of D.C. online trading company 2013-04-11T15:16:17Z JPMorgan was the lead on a $1.2 billion loan to MF Global, and was also one of its primary clearing banks before the broker-dealer went bankrupt. JPMorgan, MF Global Inc trustee reach $546 million settlement 2013-03-20T10:45:52Z Commodity trader customers of MF Global's broker-dealer unit are expected to recover all of their money. Accord between JPMorgan, MF Global parent gets court approval 2013-03-14T01:31:46Z Bank of New York at the time combined its broker-dealer services, clearing, corporate trust and global markets and collateral businesses - including Pershing - into an investment services division head by bank executive Timothy Keaney. Bank of New York's Pershing reorganizes top management 2013-03-06T18:35:02Z “Having them away from the broker-dealer just allows us to minimize the regulatory capital associated with them and operate the broker-dealer more efficiently,” he explained to the three arbiters hearing his claim. DealBook: Banks Ease Capital Cost of Loans to Brokers 2013-05-02T01:20:28Z SharesPost's online trading platform, which matched buyers and sellers of unlisted shares, was charged by the Securities and Exchange Commission last March for failing to register as a broker-dealer before offering securities. UPDATE 1-Nasdaq, SharesPost to set up exchange for unlisted stock 2013-03-06T12:35:22Z It is likely to be adopted industrywide, he said in statement, giving "every rogue broker-dealer the green light to steal from their customers in small-dollar amounts." Schwab may apply class-action victory to pending cases 2013-02-26T20:18:55Z "We have identified the critical aspect of the 'customer' definition to be the entrustment of cash or securities to the broker-dealer for the purpose of trading securities," Raggi wrote. Madoff indirect investors lose U.S. court appeal 2013-02-22T17:58:43Z In addition to conceding a possible deficit at the broker-dealer, the latest plan narrows recovery ranges for holders of MF Global's $2.2 billion in unsecured claims. MF Global customers to get most of their money back: Freeh 2013-02-03T16:07:00Z Wells says it keeps all these loans at its broker-dealer, taking a higher capital charge. DealBook: Banks Ease Capital Cost of Loans to Brokers 2013-05-02T01:20:28Z A broker-dealer sales desk calls you with trade ideas. Prosecuting the financial crisis: Just who should we be blaming anyway? 2013-01-25T19:00:54Z There is no pattern or practice of Olson violating industry rules or violating her employing broker-dealer policies, intentionally or otherwise. Wells Fargo Branch Manager Barred Over iPod Purchases 2013-01-15T14:17:47Z But it struck a partnership with W. R. Hambrecht, a registered broker-dealer that can handle investments from accredited, or high-net-worth, individuals whom the S.E.C. considers sophisticated enough to invest in private companies. Crowdfunding for Small Business Is Still an Unclear Path 2013-01-05T20:29:24Z They will be allowed to sell stock only through an intermediary: either a broker-dealer or a specialized crowdfunding Web site, or portal. Why the S.E.C. Is Likely to Miss Its Deadline to Write Crowdfunding Rules 2012-12-26T16:50:58Z SecondMarket is managing the transactions as the broker-dealer, to comply with securities regulations. AngelList, With SecondMarket, Opens Deals To Small Investors For As Little As $1K 2012-12-19T17:00:04Z "We never dreamed this would come about so quickly," said Curt Bradbury, chief operating officer of Stephens, a Little Rock Arkansas broker-dealer that took part in Knight's rescue. UPDATE 3-Getco wins Knight with $2 bln sweetened offer -sources 2012-12-19T03:24:13Z James Giddens, the trustee liquidating MF's broker-dealer unit, said in a June report that Corzine failed to address growing liquidity needs as he built the firm into a global investment powerhouse. MF Global customers to seek subpoenas for Corzine, others 2012-11-26T23:14:01Z A trustee liquidating the company's broker-dealer unit released a critical report in June that said that in his attempt to build the firm into a global investment powerhouse, Corzine failed to address growing liquidity needs. Congress panel blames Corzine for MF Global fall 2012-11-15T00:36:55Z Among other things, the SEC’s complaint alleged that through Spartan Capital Partners, an unregistered broker-dealer, Mattera and his cohorts solicited investments by phone, word of mouth, and advertisements on the professional networking website LinkedIn. What Can Stop You From Getting Rich On Tech Stocks 2012-10-05T10:16:43Z New Jersey-based adviser Nick Boccella, for example, became an independent adviser in May and partnered with Wells Fargo's independent broker-dealer division because of its name recognition. What's in a name? For some Wall St. brokerages, not much anymore 2012-10-02T17:21:18Z Similar provisions protect "securities contracts," and open up the argument that any transaction that occurs in the general vicinity of a broker-dealer is immune from the normal rules of bankruptcy. DealBook: Too Much Protection for Derivatives in Bankruptcy 2012-09-11T14:55:05Z MF Global declared bankruptcy in October, freezing customer accounts in its broker-dealer unit. Court approves $17 million in MF Global trustee fees 2012-07-11T17:01:51Z A securities lending program typically lets an investor lend securities to a broker-dealer in exchange for cash that a bank invests on behalf of the investor. BNY Mellon settles Sigma lawsuit for $280 million 2012-07-06T13:51:49Z The DMM saw it, alerted the operations staff, the stock was halted, and the broker-dealer was contacted. NYSE catch saves broker from disastrous blunder 2012-06-29T23:39:09Z Commodity Futures Trading Commission, told Reuters he questioned whether attorneys hired in Britain by the trustee liquidating the broker-dealer unit of MF Global would effectively represent futures customers. Chilton calls for CFTC's own attorney on MF Global 2012-06-15T17:17:39Z CRT Capital Group, an institutional broker-dealer, said its clients were asking for ways to trade healthcare. Analysis: Investors plot hedges for healthcare law ruling 2012-06-13T16:10:33Z Regulators later found that an estimated $1.6 billion was missing from the client accounts of the company's broker-dealer. Court approves $17 million in MF Global trustee fees 2012-07-11T17:01:51Z In his 275-page report released this week, Giddens, the trustee liquidating the company's broker-dealer unit, portrayed a firm desperate to plug holes as MF Global's liquidity situation deteriorated. Former MF Global CFO under scrutiny over conflicting statements 2012-06-08T04:19:01Z It turned out the broker-dealer did not want to buy Monster Worldwide. NYSE catch saves broker from disastrous blunder 2012-06-29T23:39:09Z Louis Freeh, the trustee overseeing the wind-down of MF Global Holdings, the parent company of the broker-dealer, is also scheduled to submit a progress report on Monday. MF Global trustee to report on payback efforts 2012-06-01T18:53:45Z The nonprofit group is supported by charges paid by its broker-dealer members, but the cost of those charges is most likely passed on to customers. DealBook: Madoff Case Is Paying Off for Trustee ($850 an Hour) 2012-05-29T01:42:21Z That task falls to James Giddens, the trustee for the MF broker-dealer. MF Global clients bash fat fees, seek quick wind-down 2012-05-17T23:26:43Z On one email two weeks before the company collapsed, for example, a treasury official told Steenkamp that liquidity was so strained that the broker-dealer would be relying upon a $16 million buffer in customer accounts. Former MF Global CFO under scrutiny over conflicting statements 2012-06-08T04:19:01Z In 2005, he started a hedge fund that operated separately from his broker-dealer, using borrowed money to multiply the size of his bets on subprime mortgage bonds. Once Reviled, Hedge-Fund Manager Rebounds 2012-04-20T19:47:25Z This figure included stock held by its broker-dealer, as well as options. Correction: iRational? 2012-03-29T15:03:30Z They are paid from a fund overseen by SIPC, which provides a form of protection for investors against losses that arise when a broker-dealer fails. DealBook: Madoff Case Is Paying Off for Trustee ($850 an Hour) 2012-05-29T01:42:21Z In the unwinding of MF Global, the parent estate is separate from the estate of the broker-dealer, which held customer accounts. MF Global clients bash fat fees, seek quick wind-down 2012-05-17T23:26:43Z The trustee overseeing the liquidation of MF Global Holdings Ltd.'s brokerage Thursday proposed additional payments to commodities clients of the failed broker-dealer, including the first to those with accounts frozen on non-U.S. exchanges. MF Trustee Seeks More Payments to Commodities Clients 2012-03-15T19:08:51Z SharesPost, an online exchange where private shares are bought and sold, improperly brokered transactions without registering with regulators as a licensed broker-dealer, the agency said. DealBook: Charges Filed Against Brokerage Firms That Trade Private Shares 2012-03-14T22:24:55Z The firm was still listed as an active broker-dealer on the regulator’s website. Kaufman Closes as Minority-Owned Investment Bank Succumbs 2012-02-08T14:45:53Z Bank of America broker-dealer units hold more than $2.2 trillion in client assets. DealBook: Lawyers and Activists Call for Breakup of Bank of America 2012-01-25T16:48:39Z "SIPC covers theft of investor funds when they are stolen by the broker-dealer, and the SEC has not alleged that this foreign bank stole our money." SEC, SIPC to argue in court over Stanford claims 2012-01-23T15:08:12Z Earnings were hurt by a $23 million provision for credit losses tied to “a broker-dealer customer that filed for bankruptcy in the fourth quarter of 2011,” the bank said in its statement. BNY Mellon Earnings Drop as Weak Markets Drag Down Fees 2012-01-18T15:53:25Z MF Global used about $700 million of customer funds to “meet liquidity issues” at its broker-dealer in the days prior to the bankruptcy, according to CME Group. MF Global Said to Have Told JPMorgan Transfer Was Properly Done 2012-01-17T19:45:59Z MF Global Inc is the broker-dealer unit of MF Global Holdings Ltd, the commodities broker that went bankrupt on October 31 after its bets on European sovereign debt became public. Claim deadline may illuminate MF Global "hole" 2012-01-11T21:15:29Z Other trade groups that received the letter include The Investment Company Institute, the American Council of Life Insurers, and the Financial Services Institute, an independent broker-dealer organization. Labor Department's Borzi defends data request 2012-01-09T17:37:44Z "They are asking for an inordinate amount of data that is impossible to get," said one executive at a broker-dealer who saw the letter but did not want to be named. Exclusive: Debate over Labor fiduciary plan likely to drag 2012-01-05T23:36:59Z A person close to MF Global says that the firm’s broker-dealer unit used to be called MF Securities, and people in the company often referred to it by that name. DealBook: MF Global Scrutinized on Money Move 2011-12-29T02:20:25Z The company, which sells software to handle trading and risk management, also functions as a broker-dealer. CVC Drops Takeover of ConvergEx Amid Probes by SEC, Justice 2011-12-23T18:08:08Z After the market collapsed, a broker-dealer, suspicious that Mellon Financial was bidding for Citizens, said orders wouldn’t be accepted on behalf of a company bidding on its own securities, the Texas agency said. Bank of New York Mellon Settles Auction-Rate Investigation 2011-12-23T11:54:06Z That broker-dealer made a $6.3 billion bet on European sovereign debt that caused clients to flee and sent its share price tumbling to below $1. Jefferies wins over critics by reducing risk 2011-12-21T03:50:40Z Then, they said, after the funds were moved to the broker-dealer unit of MF Global they may have been used to pay margin on the repurchase agreements. MF Global Probe Said to Weigh Illegal Use of Funds for Margin 2011-12-17T17:43:52Z Cotellessa-Pitz will plead guilty to four counts of conspiracy, falsifying books and records of a broker-dealer, falsifying books and records of an investment adviser and making false filings with the U.S. Madoff’s Former Controller to Plead Guilty, U.S. Tells Court 2011-12-15T23:03:01Z In an interview, Sommers told Reuters that just because money was transferred out of a customer account to the broker-dealer account "doesn't mean it was illegitimate." Exclusive: Regulators know what happened to MF Global funds 2011-12-14T19:54:19Z A spokeswoman for MF Global Holdings, the holding company for the broker-dealer, said “there was an approval process” for moving segregated funds, but said she was unable to provide more details. Common Sense: An Unthinkable Risk at a Brokerage Firm 2011-12-09T23:18:59Z The filing noted that the Fed was authorized to extend credit to Morgan Stanley’s broker-dealer units in both the United States and Britain but contained no dollar amounts used. Fair Game: Secrets of the Bailout, Now Revealed 2011-12-04T00:50:42Z Trustee James Giddens, who also is liquidating the MF Global Inc. broker-dealer, asked a judge to approve the distribution yesterday, more than three years after the Lehman parent filed the biggest bankruptcy in U.S. history. Lehman Brokerage to Start Paying Customers $18.3 Billion 2011-12-02T14:46:03Z House Agriculture committee voted unanimously Friday to subpoena Jon Corzine, the former chief executive of failed broker-dealer MF Global Holdings Ltd., to compel him to testify at a Dec. House Panel Subpoenas MF's Corzine 2011-12-02T14:56:11Z The shortfall in MF Global’s U.S. segregated customer accounts may exceed $1.2 billion, according to James Giddens, the trustee overseeing the liquidation of the broker-dealer. MF Global Accounting Technique Under Review, Schapiro Says 2011-12-01T17:57:04Z Like most large brokerage firms, MF Global was both a broker-dealer and a futures commission merchant, though its primary business was commodities futures trading. Common Sense: An Unthinkable Risk at a Brokerage Firm 2011-12-09T23:18:59Z The holding company of collapsed broker-dealer MF Global Holdings Ltd. intends to dismiss 212 employees by year's end, according to a notice filed with the New York State Department of Labor on Tuesday. MF's Holding Company to Dismiss Remaining Staffers 2011-11-29T18:30:01Z He likened Greece to bankrupt U.S. broker-dealer MF Global - annoying but not a real issue - and Italy to Lehman, whose collapse marked the start of the 2008 financial crisis. Insight: Euro zone contingency planning accelerates with crisis 2011-11-29T08:34:07Z The trustee liquidating MF Global’s broker-dealer said more than $1.2 billion in customer money may be missing, and the company is being investigated by regulators and the U.S. Corzine Pushed Europe Bet to $11.5 Billion as Board Balked 2011-11-29T06:33:46Z James Giddens, the trustee liquidating MF Global's broker-dealer unit, estimated last week the shortfall in customers' accounts at $1.2 billion, about double initial estimates from regulators. Exclusive: Regulators doubt MF Global shortfall estimate 2011-11-28T20:33:44Z Customer accounts of MF Global Inc., the broker-dealer unit of parent MF Global Holdings believed to hold $5.45 billion, were frozen Oct. MF Global’s Bankruptcy Trustee Set to Be Ex-FBI Director Freeh 2011-11-26T05:23:02Z Separately, Glenn approved the adoption of a parallel claims process for securities customers and commodities customers of MF Global's broker-dealer unit, whose liquidation is being overseen by a separate trustee, James Giddens. Judge OKs bankruptcy trustee for MF Global 2011-11-22T21:34:49Z Many former customers of the defunct broker-dealer asked for all or a percentage of their assets without acknowledging “the apparent shortfall,” he said in the filing. MF Global Shortfall May Double Last Estimate, Top $1.2 Billion 2011-11-21T19:23:02Z The broker-dealer unit of MF Global Holdings is being liquidated separately. JPMorgan, Goldman Sachs Sued for Alleged MF Global Misstatements 2011-11-19T06:32:59Z MF, which went bankrupt October 31, laid off nearly half its staff, including more than 1,000 employees of the company's broker-dealer unit. MF Global customers to get long-sought $520 million 2011-11-18T00:43:03Z About $1.2 billion in customer funds are believed to be missing, according to James Giddens, the trustee appointed to liquidate the broker-dealer and distribute refunds to its customers. MF Global’s Bankruptcy Trustee Set to Be Ex-FBI Director Freeh 2011-11-26T05:23:02Z Mattera, Van Siclen, and Howard were each actively involved in providing false documents and information to broker-dealer representatives in pitching their clients to invest in the Praetorian entities. SEC Sues To Stop Latest Mattera Investment Scam 2011-11-17T19:10:49Z Attorney Patrick Fitzgerald in Chicago issued subpoenas in a probe of MF Global Holdings Ltd., the broker-dealer parent that filed for bankruptcy Oct. MF Global Subpoenas Said to Be Issued by U.S. Attorney 2011-11-17T17:40:58Z Kugel also faces charges of bank fraud, securities fraud and falsifying records of an investment adviser and broker-dealer, prosecutors said. Former Madoff trader to plead guilty next week 2011-11-17T02:57:50Z His team is working with government officials, regulators and other investigators “examining the accuracy of bookkeeping at the broker-dealer” and trying to verify records, he said. MF Global Trustee Asks Judge to Permit Speedy Claim Process 2011-11-16T03:41:41Z The plaintiffs said they sued the parent on behalf of all employees hurt by the actions of James Giddens, the trustee appointed to liquidate the broker-dealer. MF Global Parent Sued by Former Employees Over Firings 2011-11-14T20:56:02Z Almazon controls Long Island-based unregistered broker-dealer Spartan Capital Partners, which raised a significant portion of the money in the Praetorian entities. SEC Sues To Stop Latest Mattera Investment Scam 2011-11-17T19:10:49Z Morgan Chase & Co. is trying to unfairly claim their assets in a court tussle over the remains of the bankrupt broker-dealer. MF Global Clients Accuse J.P. Morgan of Overreach 2011-11-14T18:48:07Z He is being charged with taking part in a conspiracy to commit securities fraud, falsify broker-dealer records and create records of fake trades used to dupe clients of the fund's investment advisory business, prosecutors said. Former Madoff trader to plead guilty next week 2011-11-17T02:57:50Z “There is an opportunity for a win-win restructuring or replacement of the broker-dealer with one more responsive to the issuer.” Governments Using Swaps Emulate Subprime Victims of Wall Street 2011-11-14T05:44:28Z The Securities Investor Protection Corp. sued the broker-dealer the same day to put it in liquidation. MF Global Parent Sued by Former Employees Over Firings 2011-11-14T20:56:02Z Some employees of MF Global Inc., the broker-dealer unit of bankrupt MF Global Holdings Ltd., learned they were being fired from news reports, a person familiar with the matter said. MF Trustee Fires Entire Broker-Dealer Workforce of 1,066 2011-11-11T19:08:02Z Mr. Giddens, meanwhile, plans to move what remains of MF Global’s broker-dealer staff in New York into a smaller and less expensive work space. DealBook: MF Global Lays Off Vast Majority of Broker-Dealer Employees 2011-11-11T17:20:30Z The trustee liquidating the broker-dealer business of MF Global Holdings Ltd. on Friday fired the unit's 1,066 employees effective immediately, according to a statement. MF Global fires more than 1,000 workers 2011-11-11T17:13:00Z The broker-dealer unit, MF Global Inc., faces liquidation. Peterffy Bought 8 Million MF Global Shares as Broker Failed 2011-11-09T18:20:59Z MF Global was also a registered broker-dealer, like Fidelity and Schwab. Wealth Matters: MF Global Customers Seeking Access to Accounts 2011-11-05T02:13:07Z A trustee plans to liquidate MF Global's U.S. broker-dealer unit. MF Global CEO Jon Corzine resigns under fire 2011-11-04T13:41:27Z Referring to an “apparent shortfall” in segregated customer funds at the broker-dealer, CME said the funds may have been transferred after a CME audit of the funds, in violation of regulatory rules. MF Global Has Customer Shortfall of $633 Million, CFTC Says 2011-11-03T18:12:29Z LPL Financial Inc., a unit of LPL Investment Holdings Inc., the nation's largest independent broker-dealer, is also among several firms this year to offer more social media access to its advisers. Raymond James adds social network tools for advisers 2011-11-02T22:50:22Z The company’s regulated U.S. broker-dealer unit, MF Global Inc., which didn’t file for bankruptcy, was sued yesterday in U.S. MF Global Files Bankruptcy as Broker-Dealer Unit Liquidates 2011-11-01T04:52:02Z The company’s regulated U.S. broker-dealer unit, MF Global Inc., which didn’t file for bankruptcy, was sued today in U.S. MF Global Files for Bankruptcy as Broker-Dealer Unit Liquidates 2011-10-31T22:47:01Z The company’s regulated U.S. broker-dealer unit, MF Global Inc., didn’t file for bankruptcy. MF Global Files for Bankruptcy After Bad Bets on European Debt 2011-10-31T19:28:01Z Giddens is in charge of liquidating MF’s broker-dealer unit for the Securities Investor Protection Corp. to protect customer assets. MF Global Has Customer Shortfall of $633 Million, CFTC Says 2011-11-03T18:12:29Z The broker-dealer is reportedly nearing a deal to file for Chapter 11 bankruptcy protection and sell assets to Interactive Brokers Group Inc., according to The Wall Street Journal. New York Fed Suspends Ties With MF Global 2011-10-31T14:11:59Z MF Global, which runs a Futures Commission Merchant and a broker-dealer, was scrambling last week to reassure customers about its stability as signs grew that some of them were withdrawing money. MF Global seeks sale, hires restructuring advisers 2011-10-31T01:17:26Z The company, which runs a Futures Commission Merchant and a broker-dealer, was scrambling last week to reassure customers about its stability as signs grew that some of them were withdrawing money. All options in play as MF Global seeks sale: source 2011-10-30T20:38:58Z And it remains a leader in the futures broker-dealer area. DealBook: Europe's Debt Threatens MF Global, and Corzine 2011-10-27T01:16:11Z In its unusual complaint, U.S. broker-dealer Jefferies said IDCG's clearing unit repeatedly misrepresented that the contracts were "economically equivalent" to similar transactions handled in the private OTC market. UPDATE 1-Jefferies suit against IDCG a 'side issue' -Nasdaq 2011-10-26T13:14:47Z The Financial Services Institute is a membership and lobbying group for independent broker-dealer firms. Finra Backs Bachus on Regulating Advisers, Luparello Says 2011-10-05T20:40:04Z But in August it had dropped to third in Nasdaq-listed stocks and to sixth in NYSE-listed stocks, suggesting some broker-dealer clients cut out the middle man. Insight: Brokers point fingers over "naked access" rule 2011-10-02T17:29:26Z “Capital raises, write-downs and general de-risking of balance sheets have made U.S. banks harder to topple,” Marc Pinto, head of corporate bond strategy at broker-dealer Susquehanna Financial Group said in a Sept. Pimco, Neuberger Defy Bank Bond ‘Pain Threshold’: Credit Markets 2011-09-28T22:45:02Z McCann's broker-dealer unit pays advisers a percentage of fees and commissions, which often results in higher payouts than the salaries and bonuses received by private bankers. New UBS CEO says U.S. brokerage unit not for sale 2011-09-26T18:20:52Z Claymore's funds, which were rebranded under the Guggenheim name last year, are available on a number broker-dealer platforms, including Bank of America Merrill Lynch and Morgan Stanley, Goldman said. Exclusive: Guggenheim reorganizes, phases out Rydex ETF brand 2011-09-20T21:05:20Z “We would not force broker-dealer requirements on investment advisers,” he said. Finra Backs Bachus on Regulating Advisers, Luparello Says 2011-10-05T20:40:04Z "We may end up having regulation by enforcement, and I think that's dangerous," said George Hessler, CEO of broker-dealer Stock USA, which hired an outside firm for its surveillance. Insight: Brokers point fingers over "naked access" rule 2011-10-02T17:29:26Z There were also concerns that brokers would be prohibited from engaging in principal trading, which occurs when a broker-dealer sells a customer securities from its own inventory. Bucks Blog: Delay in New Rules for Retirement Account Advisers 2011-09-20T00:38:29Z But according to Jefferies, a New York-based investment bank and broker-dealer, the defendants "did nothing and stood by" as their actions caused it to suffer "tens of millions of dollars in losses." Jefferies sues Nasdaq over alleged losses on swaps 2011-09-19T21:17:29Z According to Jefferies, a New York-based investment bank and broker-dealer, the defendants "did nothing and stood by" as their actions caused Jefferies to suffer "tens of millions of dollars in losses." Jefferies sues Nasdaq over alleged losses on swaps 2011-09-19T19:00:48Z The most audacious hope is to become a full-scale broker-dealer — and a thorn in the side of the Goldmans and the Morgans of the world. The Guggenheim Connection: Fame, Riches and a Masquerade 2011-09-17T18:21:02Z The research company and broker-dealer surveys 35 firms with about $84 billion under management every week. Hedge Funds Most Bearish Since 2009 as Global Equities Lose 15% 2011-08-19T02:08:02Z "There is a high degree of confidence the State of California is going to be here by next week," said Bill Mullally, president of broker-dealer Alamo Capital in Walnut Creek, California. Signs point to California facing new budget gap 2011-08-10T20:54:37Z But after reporting its first profitable quarter in a year and pricing a difficult bond offering, the broker-dealer looks on its way to better days, thanks in part to one key appointment last year. Key-man Corzine unlocks value for MF Global 2011-08-04T18:05:02Z In addition to taking stock in the shells used in his transactions, Halter also earned "finder's fees" through his affiliated broker-dealer firm, Halter Financial Securities. Special report: China's shortcut to Wall Street 2011-08-01T13:34:31Z “This was all driven by the broker-dealer side of the business.” JPMorgan Shares Rise After Earnings Beat Analysts’ Estimates 2011-07-14T15:13:43Z The recent setback is a good time to invest in Miller, said Burt White, chief investment officer at broker-dealer LPL Financial in Boston. Legg Mason's Bill Miller: time to ditch or to buy? 2011-07-01T19:34:15Z Vest is the eighth-largest independent broker-dealer network in the United States by number of brokers, according to trade publication Investment News. Wells sheds HD Vest brokerage, but will keep FiNet 2011-07-01T18:50:49Z He was also registered as a broker-dealer and subject to oversight by the SEC and industry-funded watchdog the Financial Industry Regulatory Authority. SEC unveils post-Madoff broker oversight plan 2011-06-15T14:03:24Z Similarly, I’d expand the reach of liquidation authority to include the entire financial institution, including bank, broker-dealer and insurance company. DealBook: What to Do When Financial Institutions Fail 2011-06-14T13:08:40Z Further, Primary Global Research is a broker-dealer with a trading desk. UPDATE: How Don Chu Was Caught -- and now pleads guilty 2011-06-08T16:32:19Z The firm won approval that year to become a stand-alone broker-dealer and opened an office in 2007 to accommodate securities sales and trading. Goldman Finding Third Time a Charm as Blankfein Courts Kremlin 2011-05-23T23:23:04Z They say they did so on the recommendation of their broker, Don L. Devens, a registered representative of the broker-dealer Capital Financial Services. Wealth Matters: An Investment Asks, How Much Can You Afford to Lose? 2011-05-20T21:48:10Z After starting on Wall Street in the early 1960s, he built an apparently successful broker-dealer firm. How Bernard Madoff Did It 2011-05-14T04:31:56Z This would guide SecondMarket, which is already a registered broker-dealer with the SEC, on how to operate. SecondMarket seeks guidance from U.S. regulator: WSJ 2011-05-09T00:50:48Z LPL Financial, the nation’s largest independent broker-dealer declined to comment on its social media strategy. Cambridge, Commonwealth Vault Advisors Into Social Media 2011-05-06T15:56:35Z “Prudential used to be much more of a broker-dealer; they had equity research,” said Binner. Prudential’s Profit Declines 13% as Derivative Loss Widens 2011-05-04T21:18:04Z Apollo, which gained a listing on the New York Stock Exchange in March through a $565 million share sale, follows publicly traded rivals Blackstone Group LP and KKR & Co. in setting up its own broker-dealer. Black’s Apollo Strengthens Drexel Ties in Push Into Brokerages 2011-04-12T10:08:05Z Other than Folio Investing, which is a broker-dealer, all of the firms are registered with the U.S. Portfolios-To-Go May Become Wall Street’s Next Thundering Herd 2011-04-08T04:38:14Z "We're uncomfortable with the idea that, as a matter of regulation, a broker-dealer is not entitled to be paid for both sides of a two-sided transaction," Mr. Menshel says. New Rules May Limit Brokers' Fees 2011-03-25T23:44:17Z SWS owns three businesses: broker-dealer Southwest Securities, the troubled banking unit, and a correspondent clearing business that services smaller brokers. SWS Group rejects Sterne Agee's takeover offer 2011-03-18T18:01:57Z All RIAs, except those dually registered as a broker-dealer, are barred from taking sales commissions or other payments from the fund companies whose products they pick for investors. Vanguard Topping Fidelity Shows Shift to Independent Advisers 2011-02-28T05:27:52Z Under U.S. financial regulations, companies must register with the SEC as a broker-dealer to receive transaction fees in return for marketing securities to investors. Black’s Apollo Strengthens Drexel Ties in Push Into Brokerages 2011-04-12T10:08:05Z Barclays won a lawsuit brought by Lehman Brothers, which said the bank negotiated a secret discount when it bought the investment firm's broker-dealer unit. Unrest a world away roils stocks at home 2011-02-26T22:34:01Z Regions agreed to post the collateral with broker-dealer counterparties following the moves by Standard & Poor’s Ratings Services and Moody’s Investors Service, the Birmingham-based bank said in a regulatory filing today. Regions Posted $195 Million in Collateral After Ratings Were Cut 2011-02-24T21:59:23Z Bond-fund giant Pacific Investment Management Co. launched its own broker-dealer, a move that will allow it to sell funds directly to advisers. Pimco Starts a Broker-Dealer, Targets Small Investors 2011-02-14T19:41:15Z At 5 p.m., the so-called broker-dealer cash box — the equity and cash that Citigroup keeps on hand to cover short sales — was valued at $15.3 billion. DealBook: Citigroup and Morgan Stanley Teetered on the Brink in 2008 2011-02-10T16:18:38Z Charles Zehren, a spokesman for Apollo, declined to comment on either the broker-dealer start-up or the Morgan Joseph investment. Black’s Apollo Strengthens Drexel Ties in Push Into Brokerages 2011-04-12T10:08:05Z "Instead, retail customers should be protected uniformly when receiving personalized investment advice or recommendations about securities regardless of whether they choose to work with an investment adviser or a broker-dealer." Wanted now: clear, consistent fiduciary standards for investment advice 2011-01-26T23:49:00Z “I don’t see any major impediment to the continuation of the robust broker-dealer model, but that is something we will continue to be concerned about.” SEC Recommends Common Fiduciary Standard for Brokers, Advisers 2011-01-22T05:58:01Z Rattner entered a civil settlement last month with the SEC, agreeing to pay $6.2 million and accept a two-year ban from working with an investment adviser or broker-dealer. Rattner settles with Cuomo, to pay $10 million 2010-12-30T18:43:42Z It added that sometimes questionable practices arise from a bank's broker-dealer operations, which are outside the FDIC's purview. New York Leads Way in 'Repo' Chase 2010-12-20T23:44:45Z TPG Capital LP, the private equity firm founded by David Bonderman, also has a registered broker-dealer that markets the company’s funds to investors. Black’s Apollo Strengthens Drexel Ties in Push Into Brokerages 2011-04-12T10:08:05Z Lena Stinson, of Montgomery, Texas, was the global controller of the Stanford Group Co. broker-dealer unit and the Stanford Financial Group of Cos. umbrella organization, both based in Houston. Receiver Sues 4 Ex-Stanford Officers for $12.4 Million 2010-12-20T23:10:01Z Lena Stinson, of Montgomery, Texas, was the global controller of the Stanford Group Co. broker-dealer unit and the Stanford Financial Group of Companies umbrella organization, both based in Houston. Receiver Sues 3 Ex-Stanford Officers for $7 Million 2010-12-20T22:26:01Z "We are considering enhancing oversight of broker-dealer custody by providing new information and tools to regulatory examiners," Schapiro said at an accounting conference. SEC to toughen custody rules for broke-dealers 2010-12-06T15:41:00Z The hedge fund allegedly paid the expert network firm through "soft dollars," by directing its trading activity through the expert firm's broker-dealer. Executive Is Arrested in Insider Case 2010-11-24T17:25:00Z AP CM’s broker-dealer registration, submitted to the SEC in September, was approved April 1, according to documents on the Financial Industry Regulatory Authority’s website. Black’s Apollo Strengthens Drexel Ties in Push Into Brokerages 2011-04-12T10:08:05Z On Thursday, he settled an action brought by the Securities and Exchange Commission by agreeing to a two-year ban from associating with any investment adviser or broker-dealer and by paying $6.2 million. DealBook: Rattner Seeks Damages From Quadrangle 2010-11-19T12:35:00Z Still, documents show Goldman and Bayou Securities, the hedge fund’s broker-dealer, had an exclusive clearing agreement, which the claimants argued showed Bayou should have been clearing only through Goldman. DealBook: In Clearing Bayou, a Quagmire for Goldman 2010-10-22T00:38:00Z He was also registered as a broker-dealer and supervised by the SEC and industry-funded watchdog the Financial Industry Regulatory Authority . SEC to toughen custody rules for broke-dealers 2010-12-06T15:41:00Z The recommendation requires a two-thirds vote by the commissioners of the and the Federal Reserve Board for broker-dealers or financial companies whose largest American subsidiary by assets is a broker-dealer. Will Financial Overhaul Prevent Bailouts? 2010-07-14T16:06:00Z Apollo will also use the broker-dealer for some tasks traditionally handled by investment bankers, such as negotiating buyouts and debt restructuring efforts on behalf of its portfolio companies, according to its March 31 SEC filing. Black’s Apollo Strengthens Drexel Ties in Push Into Brokerages 2011-04-12T10:08:05Z "The wishful thinking would be that we're back in rally mode, but I think the market's kind of holding its breath," said Jay Suskind, senior vice president at Duncan-Williams, a broker-dealer firm. Despite Stocks' Gains, Skeptics Wait and See 2010-07-13T22:27:00Z Interest among advisers is increasing every day, says Matt Dalton, chief executive of Belle Haven Investments, a White Plains, N.Y.-based registered investment adviser and broker-dealer. Advisers' Use of Build America Bonds Grows 2010-07-08T20:43:00Z Determining whether a registered broker-dealer engaged in fraudulent activity by failing to fulfill the best execution obligation may also be difficult. The Flash Crash and Possible Enforcement Actions 2010-05-24T15:22:00Z The F.D.I.C. would supervise any liquidation of a bank, with the Securities Investors Protection Corporation handling that task for any broker-dealer. Will Financial Overhaul Prevent Bailouts? 2010-07-14T16:06:00Z According to Legend's website, the broker-dealer engages in stock, fixed-income and options trading as well as investment banking. UPDATE 1-Ex-Lehman CEO Fuld joins Legend Securities 2010-05-14T20:46:00Z The SEC said after the hearing that it had received recommendations from exchanges and the broker-dealer watchdog Finra for trading curbs and for dealing with erroneous trades. SEC says no single cause of market plunge 2010-05-12T00:24:00Z Fidelity said Abigail Johnson now will also oversee distribution arms including its Institutional Services wing, whose clients include broker-dealer firms, investment advisers and banks. Fidelity reshuffle boosts Abigail Johnson 2010-05-11T01:29:00Z Namely, certain outcomes could impact the firm's ability to act as broker-dealer or provide certain advisory and other services to U.S. registered mutual funds, it said. Goldman warns of more litigation, investigations 2010-05-10T12:20:00Z Much of the time, they are acting as a broker-dealer. Financial firms' roles toughen legislative task 2010-05-07T04:00:00Z Needless to say, Wall Street has not been receptive to applying a heightened standard to broker-dealer transactions, and it is worth exploring what effect they see it having on their business. What to Watch at Senate's Hearing on Goldman 2010-04-26T16:45:00Z A mark-down is the difference between the prevailing market price of a bond and the lower price a broker-dealer pays a customer to buy it. U.S. muni board looks into changing pricing system 2010-04-21T19:47:00Z They are charged with conspiracy and falsifying records of a broker-dealer and of an investment adviser. Programmers Are Indicted in Madoff Case 2010-03-18T00:13:00Z O'Hara and Perez "were indicted today by a federal grand jury in Manhattan on charges of conspiracy, falsifying records of a broker-dealer and falsifying records of an investment adviser," a statement by Manhattan U.S. Grand jury indicts ex-Madoff programmers 2010-03-17T22:34:00Z A broker-dealer helps clients who already have an investment strategy carry out that strategy. Financial firms' roles toughen legislative task 2010-05-07T04:00:00Z To them, the fact that he had a seemingly successful broker-dealer arm was tremendously reassuring, because it gave him plenty of opportunity to steal from his brokerage clients and pass the returns on to them. How I Got the Goods on Madoff, and Why No One Listened 2010-03-11T22:00:00Z A mark-up is the mirror opposite -- the difference between the market price and the higher price paid by a customer to the broker-dealer. U.S. muni board looks into changing pricing system 2010-04-21T19:47:00Z The SEC earlier this month said it is mulling exemptions to its ban on placement agents helping firms win business with government pensions funds, in an effort to ruffle fewer feathers in the broker-dealer community. New York comptroller unveils pension fund reform plan 2010-02-18T15:12:00Z “There certainly has been some concern raised on how to appropriately harmonize the fiduciary standard for investment advisers and broker-dealer to eliminate consumer confusion,” Jeff Gohringer, the spokesman, said. 2010-02-16T01:51:00Z At its simplest, a broker-dealer helps an investor who has decided to buy shares in a company's stock locate shares to purchase. Financial firms' roles toughen legislative task 2010-05-07T04:00:00Z That ability allowed him to smell a rat in 1999 when he encountered the remarkable returns claimed for a secretive hedge fund run by Bernard Madoff, a renowned Wall Street broker-dealer. How I Got the Goods on Madoff, and Why No One Listened 2010-03-11T22:00:00Z Depending on the price, "I would anticipate pretty decent demand," said Richard Lee, head of fixed-income at broker-dealer Wall Street Access in New York. 2010-02-03T16:10:00Z Specifically, the SEC is reviewing whether to allow registered broker-dealers to act as legitimate placement agents if the Financial Industry Regulatory Authority, the broker-dealer watchdog, implements strict pay-to-play rules. New York comptroller unveils pension fund reform plan 2010-02-18T15:12:00Z Reifler filed an arbitration demand a year ago with FINRA, the broker-dealer watchdog, seeking compensation due from Pali under his employment agreement, according to a filing with the Securities and Exchange Commission. 2010-01-29T19:41:00Z At its more complex, a broker-dealer might, for example, structure a specialized product that would allow an investor to bet on the direction of interest rates or whether a company will go bankrupt. Financial firms' roles toughen legislative task 2010-05-07T04:00:00Z Often, the line between broker-dealer and investment adviser can blur -- especially when dealing with more complex financial products or strategies. Financial firms' roles toughen legislative task 2010-05-07T04:00:00Z I do not think imposing a fiduciary duty across the board requires a broker-dealer to provide a continuing stream of advice. Financial firms' roles toughen legislative task 2010-05-07T04:00:00Z |
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