| 单词 | brokerage firm |
| 例句 | To show his appreciation, Vanderbilt set up a brokerage firm, Woodhull, Claflin & Co., the first female firm on Wall Street. Votes for Women! 2018-02-13T00:00:00Z He was a founder of a boutique brokerage firm and began appearing on “Selling New York.” Off Broadway, Showmen Seal Their Biggest Deal 2016-04-08T04:00:00Z Margin financing occurs when an investor borrows funds from a brokerage firm, which in turn obtains the cash from a bank; the brokerage firm retains a margin on the value of the securities in question. Prada I.P.O. Gets Muted Demand From Retail Investors in Hong Kong 2011-06-15T20:17:59Z The office, currently occupied by a brokerage firm, is run-down and man-cave-ish. Office Interior Design on a Dorm Budget 2015-06-24T04:00:00Z The second part of the series on risky financial activity shows how overconfidence and hubris created two recent crises at brokerage firm MF Global and JP Morgan – one of the better-managed banks, apparently. TV highlights 15/05/2013 2013-05-15T06:00:15Z Greene claims Koskoff, who wears a toupée throughout the movie and is one of the executives at the corrupt brokerage firm founded by Jordan Belfort, was based on him. Leonardo DiCaprio Will Testify in Wolf of Wall Street Lawsuit 2016-06-17T04:00:00Z The brokerage firm wouldn't confirm the sale price until after it closes in July. Spelling mansion sold to British heiress 2011-06-16T02:03:08Z Commercial, a commercial real estate brokerage firm in Detroit. John Curtis, John De Wald 2019-08-04T04:00:00Z “I wonder how much of this was fortuitous,” said Steven Blitz, the chief economist at ITG Investment Research, a brokerage firm in New York. How Sotheby’s Found a Path to Higher Profits 2016-08-12T04:00:00Z She continued to work at her real estate brokerage firm while he stayed home to raise the family. For richer or poorer: divorce lenders help you ditch your wealthy spouse – at a cost 2016-02-22T05:00:00Z Hired for $15 a week as a runner for the brokerage firm Halle & Stieglitz, he soon learned all aspects of the business, at the same time managing his own money. Roy R. Neuberger Dies at 107; Applied a Stock Trader?s Acumen to Art 2010-12-25T04:31:59Z Howard Wheeldon, a strategist at the brokerage firm BCG partners, suggests the biggest danger for Cameron is that the phone hacking crisis distracts him from the state of Britain's faltering economy. Cameron weakened by UK phone hacking scandal 2011-07-12T20:37:10Z Around the same time, Neal left to buy a brokerage firm, leaving Michael to unwind a mess of deals — including a prominent hole right outside the ballpark — or else lose the company. Michael and Ashley Darby’s plan for surviving ‘Real Housewives’? To have fun. 2016-02-17T05:00:00Z The groom’s mother is a real estate salesperson for Corcoran, the residential real estate brokerage firm in New York. Ali Perry, Michael Yohai 2018-12-16T05:00:00Z Later, he focused on investment banking, and also became the largest shareholder of the financial corporation Olympic Cascade, the holding company of a brokerage firm, National Securities. My father had a lifelong ticket to fly anywhere. Then they took it away 2019-09-20T04:00:00Z In “Seven Chances,” Keaton plays James Shannon, a partner in a straitened brokerage firm. Now’s a Good Time to Give Silents a Try. Start With These Comedies. 2020-04-09T04:00:00Z He got to Wall Street in the spring of 1929, as a runner for the brokerage firm Halle & Stieglitz. Top art collector Roy Neuberger dies at 107 in NY 2010-12-25T22:46:04Z The bride’s father, who is retired, was the founder and president of the Nandra Group, a brokerage firm on the floor of the New York Stock Exchange. Nancy Gutman, Steven Matz 2018-03-11T05:00:00Z He more recently retired as a retirement relationship manager in the Jacksonville, Fla., office of Fidelity Investments, a brokerage firm. Lindsay Church, Andrew Ellis 2019-01-19T05:00:00Z He said the movie brought back memories of his late-1990s stint at D. H. Blair, a brokerage firm where he made 500 cold calls a day for $250 a week. A Wealth of Ideas 2014-03-26T22:52:55Z At least 16 domestic securities brokerage firms have been given the nod to act as market makers in China A shares as of mid-September, official records show. Citadel Securities explores China licence as Beijing steps up market-making program 2023-11-13T05:00:00Z The proposed Labor Department rule is designed to force brokerage firms to put investors' needs first, instead of selling products that generate a higher payout for them. New Biden target in junk fee crackdown: retirement advisers 2023-10-31T04:00:00Z The next phase of the scam begins when the impacted person is called by someone pretending to be from their bank or brokerage firm, the FBI says. ‘Phantom hackers’ target Americans: What the FBI wants you to know 2023-10-06T04:00:00Z To open an account, you will need to search for a futures brokerage firm. How To Invest In Oil Futures 2018-03-21T04:00:00Z The trustee that you use will be a brokerage firm, trust company, bank or credit union. How To Put Gold In And Ira 2018-03-21T04:00:00Z Reinsurance brokerage firm Guy Carpenter & Co. said it was the highest increase for reinsurance rates since the year after Hurricane Katrina devastated New Orleans and the Gulf Coast. Homeowners face rising insurance rates as climate change makes wildfires, storms more common 2023-09-19T04:00:00Z The U.S. brokerage firm last month said it planned to lower its headcount in a bid to counter cost pressures, joining a list of Wall Street firms taking a similar path. Wall Street banks shed jobs to ease cost pressures 2023-09-15T04:00:00Z "It's certainly not a definitive turning point, but perhaps we're seeing green shoots in China's economy," said Kyle Rodda, senior market analyst at brokerage firm Capital.com, calling the retail sales figures "particularly heartening." Asia stocks rally as China data buoys mood; dollar stays strong 2023-09-15T04:00:00Z The sector often includes companies such as larger banks, savings and loans, asset management companies, credit services and investment brokerage firms. Hedge funds drop short trades on U.S. regional banks - Goldman 2023-09-04T04:00:00Z U.S. brokerage firm Charles Schwab said on Monday it plans to lower its headcount in a bid to counter cost pressures, joining a list of Wall Street firms take a similar path. Altria seeks US import ban on Juul e-vapor products 2023-08-22T04:00:00Z U.S. brokerage firm Charles Schwab said on Monday it plans to lower its headcount in a bid to counter cost pressures, joining a list of Wall Street firms take a similar path. Oil prices settle lower on nagging worries about Chinese demand 2023-08-22T04:00:00Z Kasama, a real estate agent who started her own brokerage firm in 2004, has served as president of the Nevada Realtors and the Greater Las Vegas Association of Realtors, according to her announcement. Nevada assemblywoman announces congressional bid in swing district 2023-08-21T04:00:00Z Reports have circulated that the Lebanese central bank had hired Forry Associates Ltd., a brokerage firm owned by Raja Salameh, to handle government bond sales from which the firm received $330 millions in commissions. Forensic audit into Lebanon’s central bank reveals misconduct and ‘illegitimate’ commissions 2023-08-11T04:00:00Z Raja has been accused of supporting his brother’s embezzlement through a brokerage firm he owns called Forry Associates Ltd, which the U.S. US, UK, and Canada sanction Lebanon’s former central bank governor over corruption allegations 2023-08-10T04:00:00Z Federal regulators continued their crackdown against employees of Wall Street firms using private messaging apps to communicate, with 11 brokerage firms and investment advisers agreeing Tuesday to pay $549 million in fines. Banks Fined $549 Million Over Use of WhatsApp and Other Messaging Apps 2023-08-08T04:00:00Z During a visit to Lebanon in March, a European delegation questioned Salameh about the Lebanese central bank’s assets and investments outside the country, a Paris apartment — which the governor owns — and his brother’s brokerage firm. French court upholds freezing of assets of Lebanon’s embattled central bank chief 2023-07-04T04:00:00Z But yields on money market funds offered by brokerage firms are even more alluring because they have tracked the federal funds rate more closely. What Higher Interest Rates Mean for Mortgages, Credit Cards and More 2023-06-14T04:00:00Z Reports have circulated that the Lebanese central bank had hired Forry Associates Ltd., a brokerage firm owned by Raja, to handle government bond sales from which the firm received $330 million in commissions. Lebanese prosecutor summons central bank chief following Interpol warrant over corruption charges 2023-05-22T04:00:00Z Securities and Exchange Commission, in which the brokerage firm said it would use the proceeds for "general corporate purposes." Charles Schwab to raise $2.5 bln through debt offering 2023-05-18T04:00:00Z California brokerage firm Red Rock Secured was charged by the Securities and Exchange Commission with a fraud scheme to peddle over-priced gold and silver coins for retirement investment plans. California brokers charged in gold, silver investment fraud 2023-05-16T04:00:00Z He struggled to find steady employment, often relying on temporary jobs, from working at a brokerage firm to raising chickens. Griffith Park's little-known history as a prison camp for Japanese, German, Italian immigrants 2023-04-28T04:00:00Z It plans to run a separate process to sell various units, including the investment manager SVB Capital and the brokerage firm SVB Securities. First Citizens to Acquire Silicon Valley Bank 2023-03-27T04:00:00Z During a visit to Lebanon in March, the European delegation questioned Salameh about the Lebanese central bank’s assets and investments outside the country, a Paris apartment — which the governor owns — and his brother’s brokerage firm. Lebanese prosecutor summons central bank chief following Interpol warrant over corruption charges 2023-05-22T04:00:00Z “We would characterize today’s testimony... as a ‘disaster’ moment,” the brokerage firm said. Biden might ban TikTok after Trump failed. Why influencers aren't freaking out 2023-03-24T04:00:00Z “It’s important to do this on the fly,” said Michelle Cleverdon, a vice president in the workplace advisory practice at Colliers, the commercial real estate brokerage firm. Designing Their Own Studios to Meet Demand for Content 2023-03-21T04:00:00Z The median monthly rent for new leases in Brooklyn was $3,400 in February, according to the brokerage firm Douglas Elliman, up nearly 10% from almost $3,100 in February 2020. Not even this city councilman can find an apartment in New York City 2023-03-14T04:00:00Z If a brokerage firm is in financial trouble, an entity called the Securities Investor Protection Corporation, known as SIPC, serves as a backstop. Is My Money Safe? Here’s What Is Covered, and How You Can Do More. 2023-03-13T04:00:00Z Despite the latest concerns, analysts at brokerage firm Wedbush Securities said the bank had received significant proceeds from selling securities and raising capital. Silicon Valley Bank shares plunge on stock-sale plan to stem cash burn 2023-03-09T05:00:00Z The company's business providing services to other utilities expanding into clean technologies will give it an added boost from the IRA, said Michael Doyle, senior equity analyst for utilities at brokerage firm Edward Jones. Bigger utilities to benefit most from Biden's clean-energy funds 2023-02-07T05:00:00Z Ion Jets, a brokerage firm that acts as an agent for members looking for private flights, has received over 175 inquiries for Super Bowl weekend. Super Bowl draws epic air show of private planes to Phoenix 2023-02-06T05:00:00Z Larissa Vidal, 52, had worked for the same large brokerage firm as a financial adviser for decades, and had been dissatisfied in the role for some time before deciding to quit. For Single Mothers, Quitting Can Bring Extra Challenges, but Also Balance 2023-02-05T05:00:00Z Its focus is on “restoring customer cash and securities left in the hands of bankrupt or otherwise financially troubled brokerage firms.” Is My Money Safe? Here’s What Is Covered, and How You Can Do More. 2023-03-13T04:00:00Z "While we watch for developments here, we don't see material risk arising to the Indian banking sector," brokerage firm Jefferies said in a note dated Jan. 26. India banks' exposure to Adani Group is limited - CLSA, Jefferies 2023-01-27T05:00:00Z Brian Proctor, chief executive of aviation advisory and brokerage firm Mente Group, said he has two buyers that would look at a distressed new plane "even if it wasn't 100% perfect." U.S. private jet buyers seek distressed planes in early sign of turbulence 2023-01-24T05:00:00Z He was the driving force behind Morgan Stanley's decision to acquire brokerage firm and investment adviser Smith Barney, which helped make wealth management the cornerstone of his plan to stabilize revenue. Morgan Stanley lowers CEO Gorman's 2022 compensation to $31.5 mln 2023-01-20T05:00:00Z The governor, who has denied all charges of corruption, calling them politicized, said earlier that “not a single penny of public money” was used to pay the brokerage firm. European delegation ends 1st round of questioning in Lebanon 2023-01-20T05:00:00Z The protection is available only if the brokerage firm fails and is a member of SIPC; most brokerage firms are required to be members. Is My Money Safe? Here’s What Is Covered, and How You Can Do More. 2023-03-13T04:00:00Z A document of the request obtained by The Associated Press showed that federal prosecutors heavily inquired about the Lebanese Central Bank’s relationship with Forry Associates Ltd, a brokerage firm owned by Raja Salameh. European legal team arriving in Lebanon in corruption probe 2023-01-11T05:00:00Z Roboadvisers offered by many major brokerage firms and retirement plan administrators have stepped in to meet the demand. May I Speak to a Human, Please? 2022-12-22T05:00:00Z If a traditional brokerage firm had been accused of using customer funds in a similar way, he added, “there would be F.B.I. agents walking down the halls, picking up documents and computers.” Here’s the Latest on the FTX Collapse 2022-11-28T05:00:00Z “The availability downtown is at a record high of 20.2 percent,” said Franklin Wallach, an executive managing director at the brokerage firm Colliers. Why Office Buildings Are Still in Trouble 2022-11-17T05:00:00Z You can check if your brokerage firm is one of its 3,500 members on SIPC’s website or by contacting the firm. Is My Money Safe? Here’s What Is Covered, and How You Can Do More. 2023-03-13T04:00:00Z Traders in the physical market and speculators bought metal to reverse short positions ahead of contract expiry on the Shanghai Futures Exchange on Tuesday and LME on Wednesday, said Al Munro at brokerage firm Marex. Volatility reigns as nickel plunges after rising 40% in two weeks 2022-11-16T05:00:00Z The real estate brokerage firm Redfin said on Wednesday that it was laying off 13 percent of its work force, the company’s latest move to cut costs amid a slowing housing market. Redfin, a Real Estate Broker, Lays Off 13% of Its Staff 2022-11-09T05:00:00Z “Any environment with vertical living, that’s the big challenge,” said Brandon L. Singer, chief executive of MONA, a retail brokerage firm. For Fitness Buffs and Landlords, Gyms Are Hot Again 2022-11-08T05:00:00Z The intervention by the RBI was confirmed to Reuters by four bankers and a brokerage firm. India's RBI sells dollars as rupee hits record low on U.S. rate hike fears 2022-10-07T04:00:00Z The advertisement seen by Reuters was sent from an email address at Fort Lauderdale, Florida firm Merle Wood & Associates, which calls itself "one of the premier yacht brokerage firms worldwide." Sanctioned Russian billionaire's yacht on sale for 29.5 million euros 2022-10-01T04:00:00Z The brokerage firm where she worked sent her to the World Trade Center for meetings at their New York office. Never forgetting 9/11 2022-09-08T04:00:00Z Speculators were aided by retail stock brokerage firms, which catered to average investors anxious to play the market but lacking direct ties to investment banking houses or larger brokerage firms. U.S. History 2014-12-30T00:00:00Z First, it would allow users to directly access commodity trading venues rather than going through brokerage firms, cutting out a number of middlemen that some in the industry see as vital to its stability. A young crypto billionaire's political agenda goes well beyond pandemic preparedness 2022-08-12T04:00:00Z In June, the real estate brokerage firms Redfin and Compass announced they were laying off employees because of sinking demand and signs of a “housing downturn.” Home buying firm settles deceptive marketing claims for $62 million. 2022-08-01T04:00:00Z At least two brokerage firms had cut its target price on FedEx's stock earlier this month. FedEx to suspend Sunday deliveries in some U.S. markets 2022-07-22T04:00:00Z The Financial Industry Regulatory Authority, a private group that regulates brokerage firms, offers an online fund analyzer that lets you compare information about different funds, including expenses. What to Know About Rolling Over Retirement Accounts 2022-07-08T04:00:00Z Wardian, a partner at an international ship brokerage firm, took the occasional client call while making his way across the country. Michael Wardian dodged cars and was struck by kindness on run across United States 2022-07-05T04:00:00Z The vacancy rate for top office buildings downtown was 13 percent at the end of last year, according to the brokerage firm CBRE, down from 14 percent in 2020. Buffalo’s ‘Other Story’ Is Told in Redevelopment and Growth 2022-07-03T04:00:00Z The award is believed to be the largest in a defamation case overseen by FINRA, which settles employment disputes between brokerage firms and their employees. A Blow to Regulators 2022-07-01T04:00:00Z FINRA, which settles employment disputes between brokerage firms and their employees. A former hedge fund star wins a record $52 million in a defamation case. 2022-06-30T04:00:00Z Shares of the once-hot brokerage firm rose 14 percent on the news, but are still down 80 percent from their I.P.O. price. Who’s Profiting From Demand for Plan B? 2022-06-28T04:00:00Z One suggestion by the SEC staff that has gained traction is to require brokerage firms to have majority of individual investors' orders routed into auctions where trading companies compete to execute them, the WSJ said. U.S. SEC gets ready to propose changes to stock market operations- WSJ 2022-06-06T04:00:00Z With headquarters in Kazakhstan's city of Almaty, its unit Freedom Finance is one of Russia's 10 largest brokerage firms. U.S.-listed Freedom Holding Corp founder says he will buy Russian unit 2022-06-01T04:00:00Z The brokerage firm Adams & Company has a few crypto-related firms in its buildings on West 24th Street, including two that recently signed three-year leases, traditionally considered short term in commercial real estate. The Crypto Bros Are Snapping Up Manhattan Real Estate 2022-05-31T04:00:00Z He’s also the executive chairman of an insurance brokerage firm and chairs the board of trustees for Cooper University Health Care System. Far-left Dem newcomer targets party establishment incumbent in New Jersey 2022-04-25T04:00:00Z Last month, FTX started a trial of its own commission-free stock brokerage firm, and has vowed not to do any deals involving payment for order flow. Who’s Profiting From Demand for Plan B? 2022-06-28T04:00:00Z Many Russian brokerage firms not targeted by Western sanctions said they were not taking trading accounts with foreign stocks from Sberbank, leaving its clients and the market unclear about their fate. Sanction fears deter Russian brokerages from adopting Sberbank's clients - sources 2022-04-15T04:00:00Z Post merger, the entity may therefore in the short term also see a higher cost of funds, which could affect its margin, said a portfolio manager at a retail brokerage firm. HDFC Bank's $40 billion deal may face regulatory hurdles due to insurance ops - analysts 2022-04-05T04:00:00Z Savills, a real estate brokerage firm, counts leases of more than 5,000 square feet for 30 notable blockchain companies around the borough, but an unknown number of firms occupy less space. The Crypto Bros Are Snapping Up Manhattan Real Estate 2022-05-31T04:00:00Z The buying only stopped when a handful of retail brokerage firms cut off access to the market like a bartender cutting off a sloppy drunk. How Civil War History Explains Memestocks 2022-04-02T04:00:00Z He earned his first Oscar nomination for playing Muhammad Ali and his second for portraying another real person, Chris Gardner, a onetime homeless father who went on to found his own brokerage firm. Will Smith wins first Oscar for tenacious father in 'King Richard' 2022-03-28T04:00:00Z "Banks are trying to transfer their clients to empty brokerage firms with a licence but with no infrastructure," the source said. Sanction fears deter Russian brokerages from adopting Sberbank's clients - sources 2022-04-15T04:00:00Z Aton, another major Russian brokerage firm, said it did not face margin calls and is well-covered by liquidity. Russian stock market plans limited re-opening, some brokerages warn of losses 2022-03-23T04:00:00Z Kommersant daily newspaper, citing a source at a large brokerage firm, said on Wednesday that some Russian holders of sovereign Eurobonds had not received coupon payments. Sanctions delay payments to Russian corporate Eurobond holders 2022-03-23T04:00:00Z A broker reacts while trading at his computer terminal at a stock brokerage firm in Mumbai, India, February 26, 2016. Asian shares up ahead of Fed meeting as China rebounds 2022-03-16T04:00:00Z A broker reacts while trading at his computer terminal at a stock brokerage firm in Mumbai, India, December 11, 2018. Oil seesaws, Asia shares dip as Ukraine talks make little progress 2022-03-08T05:00:00Z A broker reacts while trading at his computer terminal at a stock brokerage firm in Mumbai, India, February 1, 2020. Asian shares slip, oil surges again as Russia sanctions bite 2022-03-02T05:00:00Z That means the tools in Mr. Biden’s arsenal to cool down gas prices are extremely limited, said Bill Baruch, president and founder of futures and commodities brokerage firm Blue Line Futures. Russia’s invasion of Ukraine adds fuel to the fire for gas prices, inflation 2022-02-24T05:00:00Z It’s now $1.56 million — leaving even San Francisco in its glittering dust, according to January data released by brokerage firm Redfin this past week. Seattle a bedroom town? How the Bellevue boom is echoing around the region 2022-02-19T05:00:00Z In the second half of 2021, more apartments sold in Manhattan than at any time in the last three decades, driven by demand for luxury buildings, according to the brokerage firm Douglas Elliman. New York’s Recovery Took 2 Steps Forward. Omicron Sent It One Step Back. 2022-01-28T05:00:00Z “Apple being able to handle these supply chain problems is very positive,” said Edward Moya, a market analyst at OANDA, a foreign currency exchange and brokerage firm. Stocks rally, erasing losses from a turbulent week. 2022-01-28T05:00:00Z He joined his father in business before taking over the family’s Northside Realty in 1979 and building it into one of the South’s largest residential brokerage firms. Johnny Isakson, courtly GOP Georgia senator with bipartisan approach, dies at 76 2021-12-19T05:00:00Z An official at a brokerage firm involved in the deal also said the feedback so far from, mainly domestic, institutional investors indicated the IPO would easily come in at the top end. Analysis: LG Energy Solution's IPO likely to be priced at $11 bln top end - sources 2021-12-15T05:00:00Z Meanwhile, Macau’s gaming regulator has ordered junket operators in the former Portuguese colony to stop offering credit to customers, according to brokerage firm Bernstein. Trading in shares of Macau's Suncity Group, unit Summit Ascent suspended 2021-12-09T05:00:00Z “The market might have been a little too optimistic on the outlook for tech,” said Edward Moya, a senior market analyst at Oanda, a foreign currency exchange and brokerage firm. Stocks slide again after the jobs report sends mixed signals on the economy. 2021-12-03T05:00:00Z If you’ve invested with a brokerage firm in recent years, you may have noticed that your brokerage offers a product called a cash management account. Should You Bank With Your Brokerage? 2021-12-01T05:00:00Z The feds were said to be looking into whether Bradley had gotten insider trading tips from a brokerage firm while the city lobbied to keep that company’s junk bonds division in Southern California. In L.A., at least our corrupt officials don’t have much power 2021-10-26T04:00:00Z According to documents filed with the Securities and Exchange Commission, the company was formed just a few weeks after Trump's 2020 loss, with the stock brokerage firm Kingswood Capital Markets as the sole underwriter. Inside the "weird" world of DWAC, Trump's already soaring social media SPAC 2021-10-22T04:00:00Z Under the practice, called payment for order flow, brokerage firms sell the right to execute retail investors’ trades to bigger trading houses, which make tiny profits on the difference between the buying and selling prices. S.E.C. Describes the GameStop Frenzy, but Not What to Do About It 2021-10-18T04:00:00Z “You’ve had a market that has been heavily reliant on this overflowing bowl of stimulus,” said Edward Moya, a senior market analyst at Oanda, a foreign currency exchange and brokerage firm. The Stock Market’s Hot Summer Became a Swoon. Where Does It Go Next? 2021-10-04T04:00:00Z Like some other brokerage firms, it makes money from something called “payment for order flow.” Robinhood Hits Campus, Where Credit Card Companies Fear to Tread 2021-09-25T04:00:00Z But such trading by a broker outside the brokerage firm for which the broker works must be approved in writing ahead of time, under Massachusetts regulations, the settlement said. Ex-Employer of GameStop Trader ‘Roaring Kitty’ Fined for Lack of Oversight 2021-09-16T04:00:00Z To expedite sales and maximize returns, the board recommended that the General Services Administration hire a brokerage firm to sell the remaining properties together. Plan to Sell Unused Federal Property Becomes ‘Arm-Wrestling Contest’ 2021-09-14T04:00:00Z A man stands in front of an electronic board displaying stock information at a brokerage firm in Hangzhou, Zhejiang province, China April 1, 2019. Asian stocks' relative valuations to global peers at 14-month low 2021-09-13T04:00:00Z The American Customer Service Index survey also confirmed how a flood of new investors in the markets are crushing many brokerage firms — not just Vanguard. Some Vanguard loyalists decry lost checks and service lapses as the investment giant hits $8 trillion in assets 2021-08-23T04:00:00Z According to Robinhood’s own survey data, its customers are already more racially diverse than those of more established brokerage firms like Fidelity and Charles Schwab. Robinhood Hits Campus, Where Credit Card Companies Fear to Tread 2021-09-25T04:00:00Z “Eventually, these are going to be customers that all brokerage firms want to attract,” White says. Robinhood’s public trading is off to a rocky start 2021-07-29T04:00:00Z “There was no guarantee that the company was going to succeed, that people were going to embrace the hydrogen economy,” said Mr. Hargreaves, a founder of Hargreaves Lansdown, a brokerage firm. Hydrogen Is One Answer to Climate Change. Getting It Is the Hard Part. 2021-07-13T04:00:00Z Marine Corps, went to Princeton and George Washington University and then co-founded a brokerage firm. Perspective | An accurate scale model of the United States was once planned for Gaithersburg 2021-06-19T04:00:00Z Those wholesale brokerage firms pay retail brokers a fee to execute clients’ trade orders. SEC seeks review of stock trading rules 2021-06-09T04:00:00Z “At no point in the last 25 years have I directed, suggested, or even asked questions about a particular trade being made by my brokerage firm,” Malinowski said. As pandemic spread pain and panic, congressman chased profit 2021-05-20T04:00:00Z In addition to Google and Facebook, the cookies found on the site are also from data brokerage firms including Neustar and The Trade Desk, The Markup found. Nevada vaccine website implants more trackers than any state 2021-05-13T04:00:00Z “We opened our offices as soon as we were allowed across the country,” said David Lipson, a vice chairman for Savills, a global brokerage firm. They Want You Back at the Office 2021-04-30T04:00:00Z Between 2014 and 2017, the vacancy rate in D.C.’s central business district hovered around 9 percent, according to data from real estate brokerage firm Colliers International. Downtown D.C. was emptying before the pandemic. How it recovers will shape the nation’s capital. 2021-04-20T04:00:00Z Average daily trading volume at some large brokerage firms is down sharply from its peak in January, and as vaccinations continue and the economy reopens, newly mobile Americans may be less interested in picking stocks. Hungry for Investors, Some Companies Woo the Little Guy 2021-04-13T04:00:00Z The most significant were changes in how the agency carries out inspections of investment advisers and brokerage firms. EXPLAINER: Charmed by Madoff, SEC later tightened its rules 2021-04-14T04:00:00Z His brokerage firm was located in a Midtown Manhattan tower known as the Lipstick Building. Federal Bureau of Prisons says Ponzi schemer Bernard Madoff has passed away 2021-04-14T04:00:00Z If you buy a total stock market index fund, and just about all the major brokerage firms offer one, you will get exposure to the entire U.S. stock market. Investing Made Simple for Beginners and Everyone Else 2021-04-08T04:00:00Z Years after retiring from DC, for instance, she had gone back to work at age 40, taking a job as a secretary at a brokerage firm in Hollywood, Fla. Joye Hummel, first woman hired to write Wonder Woman comics, dies at 97 2021-04-08T04:00:00Z As the volatility increased, Robinhood and other retail brokerage firms were forced to curb stock buying to meet deposit requirements with clearinghouses. In GameStop Saga, Robinhood Is Cast as the Villain 2021-02-18T05:00:00Z But the share price stumbled after brokerage firms restricted users from buying more shares. Congress presses Robinhood CEO on company’s role in GameStop stock frenzy 2021-02-18T05:00:00Z Their strategy: borrow shares of the target company from a brokerage firm and immediately sell them, expecting that they will eventually fall — sometimes on account of their research, which they often share widely. Wall Street’s Most Reviled Investors Worry About Their Fate 2021-02-08T05:00:00Z The astounding levels of trading provoked an alarmed reaction from brokerage firms and securities regulators. U.S. stocks hit new highs as GameStop wraps up rough week 2021-02-05T05:00:00Z “It’s a cultural embarrassment,” said Triston Thompson, chief opportunity explorer for Tacaya, a consulting and brokerage firm for the country’s nascent legal cannabis industry. Jamaica faces marijuana shortage as farmers struggle 2021-02-05T05:00:00Z “The incredible spike in volatility told you it wasn’t sustainable,” said Julian Emanuel, chief equity and derivatives strategist at the brokerage firm BTIG. GameStop Crashes Again, Dropping 42 Percent 2021-02-04T05:00:00Z As an online brokerage firm, the company is required to keep a certain cash cushion to insulate against potential losses, and the required cushion can grow quickly when trading volume and volatility are spiking. Robinhood, Under the Gun, Raises $2.4 Billion 2021-02-01T05:00:00Z The move was a huge hit, and the company grew so quickly that other brokerage firms eliminated their fees, too. Anyone Can Manipulate the Market. Here’s How to Fix That. 2021-02-02T05:00:00Z Competing brokerage firms are also benefiting from the retail trading boom. Robinhood app downloads soar despite trading restrictions 2021-02-02T05:00:00Z In December 2018, the company said it would offer a checking and savings account that would be insured by the Securities Investor Protection Corporation, or S.I.P.C., which protects investors when a brokerage firm fails. The Silicon Valley Start-Up That Caused Wall Street Chaos 2021-01-30T05:00:00Z “As a brokerage firm,” he said, “we have many financial requirements, including Securities and Exchange Commission net capital obligations and clearing house deposits.” How GameStop traders fired the first shots in millennials' war on Wall Street 2021-01-30T05:00:00Z This Netflix gem revolves around the real estate agents at a West Hollywood brokerage firm that deals in swanky properties across Los Angeles. 11 reality shows to stream when you’re done with ‘Bling Empire’ 2021-01-28T05:00:00Z Owners of the brokerage firm did not return messages seeking comment this week. A former Olympian was among the mob that stormed the Capitol. His Team USA jacket gave him away. 2021-01-12T05:00:00Z On Friday, real estate brokerage firm JLL said it would no longer represent Trump’s company in its efforts to sell the Trump hotel in downtown Washington. PGA of America pulls PGA Championship from Trump’s N.J. golf course 2021-01-10T05:00:00Z His father, Fred, worked at a brokerage firm on Wall Street and kept his car in a garage that had a basketball hoop nearby. His Job Is Counting Stephen Curry’s 3-Pointers. You’d Retire, Too. 2021-01-08T05:00:00Z Records from the Securities and Exchange Commission show Worden was accused of defrauding several brokerage firms out of more than $130,000. A look at the 29 people Trump pardoned or gave commutations 2020-12-23T05:00:00Z Investors ran into trading difficulties Monday as several leading brokerage firms experienced technical issues that limited user access. Investors encounter trading issues at some brokerages 2020-11-09T05:00:00Z Investors ran into trading difficulties Monday as several leading brokerage firms experienced technical issues that limited user access. Investors encounter trading issues at some brokerages 2020-11-09T05:00:00Z He had worked at the brokerage firm PaineWebber while still playing for the Bears, going into the office when he was not at practice, including the day after his six-touchdown game. Gale Sayers, electrifying Hall of Fame running back for Chicago Bears, dies at 77 2020-09-23T04:00:00Z There is more square feet of work space in the city than in London and San Francisco combined, according to Cushman & Wakefield, a real estate brokerage firm. Manhattan’s Office Buildings Are Empty. But for How Long? 2020-09-08T04:00:00Z “Growth and new supply was starting to weigh pretty heavily on fundamentals,” said Ryan N. Clark, director of investment sales at Skyview Advisors, a brokerage firm based in Tampa specializing in self-storage sales. Americans Hunker Down, Threatening the Self-Storage Industry 2020-07-21T04:00:00Z Senate resigned from the board of a brokerage firm after the company expressed support for the Black Lives Matter movement, according to a letter from the candidate. Senate hopeful leaves board over Black Lives Matter support 2020-07-14T04:00:00Z The woman, Drisana Rios of San Diego, filed the lawsuit last month against Hub International, a global insurance brokerage firm, alleging gender discrimination, retaliation and wrongful termination. Woman Says She Was Fired Because Her Children Disrupted Her Work Calls 2020-07-08T04:00:00Z “As soon as the firing started, we closed the doors of our office. It was terrifying,” said Faisal Memon, an employee of a brokerage firm who works on the third floor. Gunmen Wage Deadly Battle at Pakistan Stock Exchange 2020-06-29T04:00:00Z “What’s the point of signing a lease with a 15 percent decrease in rent if you think it’s going to go lower?” said Michael Colacino, the president of the brokerage firm SquareFoot. Manhattan’s Office Buildings Are Empty. But for How Long? 2020-09-08T04:00:00Z “There’s zero doubt in my mind that it is a factor,” said Julian Emanuel, chief equity and derivatives strategist at the brokerage firm BTIG. Trading Sportsbooks for Brokerages, Bored Bettors Wager on Stocks 2020-06-14T04:00:00Z But projects that have not been started yet will be paused, said Chris Kirk, managing principal of the Salt Lake City office of Colliers, the commercial real estate brokerage firm. Office Towers Are Still Going Up, but Who Will Fill Them? 2020-06-02T04:00:00Z In mainland Miami, luxury condo sales in the first quarter rose to 173 from 160 a year earlier, according to the brokerage firm Douglas Elliman. The Latest Fashion Accessory in Miami: A Luxury Condo 2020-04-21T04:00:00Z Unlike real estate agents at most brokerage firms, Redfin agents are employees who are paid salaries and receive bonuses for sales. Redfin reduces agents by nearly half, cuts total workforce by 7 percent 2020-04-08T04:00:00Z “When it comes to making decisions about office leases, the words are postpone, adjourn and delay,” said Ruth Colp-Haber, the chief executive of Wharton Property Advisors, a real estate brokerage firm. Manhattan’s Office Buildings Are Empty. But for How Long? 2020-09-08T04:00:00Z “Our economy has been diversified like I have never seen in my three decades in business,” said Greg Vogel, chief executive of Land Advisors Organization, a land brokerage firm in Scottsdale. Arizona Boom Draws Californians and Changes Political Hue 2020-03-15T04:00:00Z The brokerage firms declined to comment, while JPMorgan did not immediately respond to requests for comment. K-pop sensation BTS' label picks JPMorgan, others for IPO: media 2020-02-24T05:00:00Z Morgan Stanley is buying E-Trade, the discount brokerage firm that allows regular people — i.e., those without tons of money — to buy and sell financial assets online. The Week in Business: Even Billionaires Can’t Buy Debate Skills 2020-02-23T05:00:00Z Other brokerage firms classify agents as independent contractors who receive commissions rather than fixed salaries. Redfin reduces agents by nearly half, cuts total workforce by 7 percent 2020-04-08T04:00:00Z But the hook-up still leaves E-Trade smaller than Fidelity, Vanguard and Schwab in terms of assets and likely pressure smaller brokerage firms to partner up as the business of investment management continues to consolidate. Morgan Stanley to buy online brokerage E-Trade for $13bn 2020-02-20T05:00:00Z In the early 1990s, he formed a commercial insurance brokerage firm, helping insure people for projects such as construction. The Bizarre Life of the Man Accused in the Sarah Lawrence Sex Case 2020-02-12T05:00:00Z The lawsuit filed on Monday included comments from some of New York City’s largest brokerage firms, which portrayed the industry as being in dire straits after the ruling. Sorry, Renters: You Still Have to Pay Brokers’ Fees for Now 2020-02-10T05:00:00Z Sarah Saltzberg, a broker who runs Bohemia Realty, a brokerage firm based in Harlem, said the public has a misconception about brokers. Brokers’ Fees Fallout: Renters Are Jubilant, but Agents Are Reeling 2020-02-06T05:00:00Z Money-market mutual funds offered by those same brokerage firms — but not the default option — paid more than 1 percent. The Great Bond Party of 2019 Is Ending 2020-01-17T05:00:00Z The film depicts a misogynistic and wild work culture at a brokerage firm. Texas woman fights to keep name out of lawsuit alleging rape 2019-12-06T05:00:00Z At $700 a square foot, the sale was most likely a record for undeveloped land in Denver, according to the brokerage firm CBRE. Parking Lots, Once Asphalt Wasteland, Become Golden Opportunities 2019-12-03T05:00:00Z The practice, known as “payment for order flow,” is widespread among online brokerage firms. Yes, You Can Get Free Trading. But There’s Often a Catch. 2019-11-29T05:00:00Z “Stadia will live or die by its content,” said George Jijiashvili, senior analyst at Ovum, a brokerage firm, adding that underwhelming number of launch titles was making it difficult to generate real excitement. Google enters gaming with cloud-based streaming service Stadia 2019-11-19T05:00:00Z I applied to a small brokerage firm in Seattle, where the sales manager was a fellow Whitman College alum and economics major. Visual impairment should not be a barrier to employment 2019-11-01T04:00:00Z It also alleges brokerage firms regularly charge inflated commissions. Missouri real estate suit draws Justice Department interest 2019-10-06T04:00:00Z “This is the markets unequivocally insisting that there be verifiable, material progress in next week’s trade talks,” said Julian Emanuel, chief equity and derivatives strategist at the brokerage firm BTIG. Stocks Slide as Evidence Mounts of Slowdown Fueled by Trade War 2019-10-02T04:00:00Z They said that Mr. Tyurin, at the direction of Mr. Shalon, hacked into financial institutions, brokerage firms and financial news publishers. Russian Man Pleads Guilty in ‘Massive’ Hacking Scheme 2019-09-23T04:00:00Z Tyurin also allegedly targeted other U.S. financial institutions, brokerage firms, financial news publishers and other American companies. Russian hacker pleads guilty in massive data theft scheme 2019-09-23T04:00:00Z “These fees are what keeps some brokerage firms in business,” said Mr. Dagan, who also runs PreApproved Renter, a software platform that helps landlords process rental applications. Does Your Real Estate Broker Owe You a Refund? 2019-09-22T04:00:00Z The package of rules, approved in a vote by the SEC, require brokerage firms to disclose potential conflicts of interests in the fees investors pay and the commissions brokers earn when giving financial advice. Seven U.S. states, District of Columbia sue to block SEC rule change 2019-09-09T04:00:00Z “The narrative of ‘fear of missing out’ and ‘there is no alternative’ is resonating with investors,” said Ian Burdette, a senior managing director at brokerage firm Tribal Capital Markets. Markets Soar on News of China Talks, but Hopes for Progress Are Low 2019-09-05T04:00:00Z The brokerage firm receives a small payment, often a penny per share, as compensation for putting the trades in certain directions. The hidden costs of using free-trading apps like Robinhood 2019-07-27T04:00:00Z He runs an average of seven miles to his office in Northwest Washington, where he is a partner for an international brokerage firm. What’s it like to run 90 miles around the Beltway on the hottest day of the year? ‘Terrible.’ 2019-07-02T04:00:00Z “Yesterday’s bout of paralysis is giving way to a fresh slide in prices as market players fret over a swelling glut in U.S. oil stockpiles,” brokerage firm PVM said in a daily note. Oil falls over 2% on weaker demand growth, gain in U.S. crude stocks 2019-06-12T04:00:00Z The tariffs are “a measure where nobody really wins - everyone loses,” said Leonardo Flores, director of the exchange desk for Multiva, a brokerage firm. Trump tariffs could sink Mexican peso to lowest point this year:... 2019-06-06T04:00:00Z Fidelity, Vanguard and other brokerage firms offer ways to open an account for next to nothing in fees. A Financial Checklist for Your Newly Minted High School Graduate 2019-05-31T04:00:00Z Russ Dallen of the Miami-based brokerage firm Caracas Capital Markets said Sunday that Venezuelan produces roughly 15 percent of capacity, as output falls. Vast gasoline lines form in oil-rich Venezuela 2019-05-19T04:00:00Z “It’s 100 percent about trade,” said Michael Gibbs, director of portfolio and technical strategy at the brokerage firm Raymond James in Memphis, referring to the early slump. Stocks Fall as Trump Threatens New Tariffs on China 2019-05-06T04:00:00Z And it approved a request by JPMorgan Chase to establish a majority owned and controlled securities brokerage firm in the country and floated the idea of expanding access for foreign cloud computing companies. Trump Says ‘Epic’ China Trade Deal Is Near Completion, but Hang-Ups Remain 2019-04-04T04:00:00Z Her father, H. B. Hollins, owned a Wall Street brokerage firm and was a friend and business associate of William K. Vanderbilt and J. P. Morgan. The Woman Who Invented Augusta National 2019-04-02T04:00:00Z He says that’s partly because of changes in the federal tax code that encouraged Wall Street brokerage firms to move up bonus payments to December 2017. Wall Street bonuses fell $30K in 2018 despite profit upturn 2019-03-26T04:00:00Z The Department of Financial Services is a powerful agency that regulates and supervises the insurance industry — including brokers, brokerage firms and underwriters in New York — as well as banking and other financial institutions. Trump Organization’s Insurance Policies Under Scrutiny in New York 2019-03-05T05:00:00Z Jay Parker, CEO of Douglas Elliman Real Estate, one of the largest residential brokerage firms in Florida and Manhattan, said New Yorkers are the new “foreign” buyers. Mansion sales rise in Florida as wealthy buyers are drawn to its low taxes and sunshine 2019-02-06T05:00:00Z Domestic brokerage firm Edelweiss Securities said that they see earnings at metals companies “going downhill” after the third quarter. Exclusive: Indian steel firms seek higher duties on steel imports... 2019-02-05T05:00:00Z Mr. Katri and four other current and former employees from the brokerage firm were named in the suit. New York Empire of Illegal Airbnb Rentals Booked 75,000 Guests, Suit Says 2019-01-14T05:00:00Z Less than six months later brokerage firm Bear Stearns collapsed, a defining moment in the Great Recession that sent global markets spiraling. Stocks are down after a volatile year, but that’s not the whole picture The subpoena was served late Monday on the company, Aon, one of the largest insurance brokerage firms in the world, as part of an inquiry by the New York State Department of Financial Services. Trump Organization’s Insurance Policies Under Scrutiny in New York 2019-03-05T05:00:00Z “If interest rates are going to be normalized higher, that means stock prices need to be normalized lower,” said Matt Maley, equity strategist with institutional brokerage firm Miller Tabak in Boston. Stocks Tumble After Fed Signals More Rate Rises in 2019 2018-12-19T05:00:00Z Last year, the Securities and Exchange Commission filed charges against Genovese and a business associate at a New York brokerage firm. Effort to reopen Bunker Hill Mine runs into problems 2018-12-17T05:00:00Z “The statute that we administer says that we protect money with a brokerage firm that is used for the purchase of securities,” he added. SIPC has 'serious concerns' about Robinhood's new checking and savings service 2018-12-14T05:00:00Z “The fact is that politics is driving the economy to an extent that is very atypical,” said Julian Emanuel, chief equity and derivatives strategist at BTIG, an institutional brokerage firm. Wall St. Faces Stomach-Churning Swings as Economic Uncertainty Grows 2018-12-10T05:00:00Z One local brokerage firm reported it sold nearly 150 units over four days last week, about 15 times its usual volume. Amazon Employees Join the Rush to Buy Long Island City Condos 2018-11-20T05:00:00Z The bank and brokerage firm is one of the largest in the U.S. Charles Schwab executive’s advice for managers 2018-11-04T04:00:00Z Google could lose up to 20 percent by the same measure, according to the brokerage firm. Apple and Google face growing revolt over app-store ‘tax’ 2018-08-26T04:00:00Z Because Ms. Dewart settled her case, it was not included in last year’s count, suggesting that Finra’s statistics understate the number of complaints raised with brokerage firms. Caring for Aging Parents, With an Eye on the Broker Handling Their Savings 2018-08-25T04:00:00Z Without a new infusion of cash, from the IMF or another source, “the situation is certainly not good,” Mohammed Sohail, chief executive of Karachi-based brokerage firm Topline Management, recently told The New York Times. Imran Khan’s top focus to be fixing Pakistan’s economy 2018-08-09T04:00:00Z The following morning, the indictment said, Cameron Collins placed an online order with his brokerage firm, selling more than 16,500 shares of Innate Immunotherapeutics stock. New York Congressman Chris Collins Is Charged With Insider Trading 2018-08-08T04:00:00Z “The situation is certainly not good,” said Mohammed Sohail, chief executive of Topline Management, a brokerage firm based in Karachi, the country’s economic capital. Imran Khan’s First Test: Pakistan’s Troubled Economy 2018-08-04T04:00:00Z Instead, he got an entry-level job at a brokerage firm in San Francisco. Private Dreams and Public Ideals in San Francisco 2018-07-30T04:00:00Z Moreover, the company said it paid to settle a legal dispute with the founders of Advanced Equities, a now-defunct brokerage firm that created crowdfunding entities that invested hundreds of millions of dollars into Bloom Energy. Clean-Tech Company Bloom Energy Soars 67% in Trading Debut 2018-07-25T04:00:00Z A criminal complaint contends the scheme involved members of the Venezuelan elite, money managers, brokerage firms, banks and real estate investment firms. US: 8 charged in $1.2B Venezuelan money-laundering scheme 2018-07-25T04:00:00Z Dark pools execute about 14 percent of U.S. equity volume, according to institutional brokerage firm Rosenblatt Securities. Government audit faults oversight in auto recalls 2018-07-18T04:00:00Z However, some real estate associations, attorneys and brokerage firms warn against them. Writing a seller a letter can sometimes make or break a home purchase 2018-06-25T04:00:00Z By way of a second line of defence, investors and brokerage firms often employ their own “analysts” to critically read sets of published accounts. How to get away with financial fraud 2018-06-28T04:00:00Z He was never charged and the state recovered $55 million from lawsuits against nine New York brokerage firms involved in the losses. West Virginia gov OKs session to mull justice impeachment 2018-06-25T04:00:00Z He said smaller independent banks, investment banks and brokerage firms got the work started. Legal pot will roll out differently in Canada than in US 2018-06-20T04:00:00Z When I first started at his small brokerage firm, I was told that if he didn’t like someone in a meeting, he would pick up the person’s business card and pick his teeth with it. The Art of the Brushoff 2018-06-17T04:00:00Z Robinson Worldwide Inc., the largest freight brokerage firm in the U.S., XPO Logistics Joins Push to Digital Freight Booking 2018-04-11T04:00:00Z In 2013, a former part-owner of one such company pleaded guilty in federal court to engaging in a kickback scheme with a brokerage firm that recruited litigants looking for cash advances ahead of their settlements. Prosecutors Investigate Firms That Offer Plaintiffs Early Cash 2018-03-19T04:00:00Z Billy Rose, founder and president of The Agency, a boutique real-estate brokerage firm in Beverly Hills, Calif., likes his 1940 Streamline Moderne house so much that he practically bought it twice. How Real-Estate Agents Get the Best Homes—for Themselves 2018-03-15T04:00:00Z Technology and related companies are fueling 20% of the office space demand in small capital cities like Lisbon, Vilnius, Lithuania, and Tallinn, Estonia, according to brokerage firms. New Tech Centers Sprout in Europe 2018-03-06T05:00:00Z Many traditional brokerage firms would fire people generating that amount of money. Yes, You Can Find a Financial Planner Even if You’re Not Rich 2018-02-02T05:00:00Z With stock, brokerage firms such as Vanguard and Charles Schwab typically help investors track their gains and losses with a year-end tax document, Form 1099. ‘It’s going to be a nightmare’: Some bitcoin investors are in for a rocky tax season 2018-01-11T05:00:00Z Federal agents said Nassida and his sister led a scheme to inflate borrower income and assets to obtain millions in fraudulent loans through their mortgage brokerage firm between 2002 and 2008. Man who won new trial due to sleeping attorney sentenced 2018-01-11T05:00:00Z Zuerlein’s reliability was an enormous asset, and Los Angeles’ new kicker is Sam Ficken, who was working at a brokerage firm in Connecticut recently. LA Rams make long-awaited playoff return vs tested Falcons 2018-01-05T05:00:00Z Sam Ficken was sitting at his desk in a Connecticut brokerage firm this week when his phone rang. Inexperienced Ficken will be kickin' for the Rams – LA Times 2017-12-21T05:00:00Z It got its own futures market at a traditional brokerage firm, and it even earned a joke in a recent “Saturday Night Live” sketch. Perspective | Five myths about bitcoin 2017-12-15T05:00:00Z The investment and brokerage firm predicts a murky future for CSX, as Mr. Harrison’s abrupt exit has left the railroad with a network and culture that is “only partially transformed.” CSX Loses $4 Billion in Value After CEO Harrison Takes Medical Leave 2017-12-15T05:00:00Z Even so, the line between Fortress and the brokerage firms selling Fortress investments remains blurred. Special Report: Canada regulator ignored warnings on risky mortgage investments 2017-11-30T05:00:00Z Not all brokerage firms are against the unbundling of research and trading. New Skirmish in an Old Battle: Wall Street vs. the Customer 2017-09-29T04:00:00Z Mr. Obama’s speech Monday at a conference on health care, sponsored by the brokerage firm Cantor Fitzgerald, marked at least his ninth paid speech since he left the White House, The Times reported. Obama laments pervasive politics: ‘Can’t even get it out of football’ 2017-09-26T04:00:00Z The former president’s speech at the brokerage firm Cantor Fitzgerald didn’t include swipes at the Trump administration. CAA Talent Agency Gets a Big New Investor: DealBook Briefing 2017-09-26T04:00:00Z Among them were firms that buy stock orders from retail brokerage firms, known as wholesalers or internalizers. S.E.C. Rules to Protect Investors From Cyberthreats Fall Short 2017-09-22T04:00:00Z Even so, the line between Fortress and the brokerage firms selling Fortress investments remains blurred. Special Report: Canada regulator ignored warnings on risky mortgage investments 2017-11-30T05:00:00Z The SEC said late Wednesday that Edgar, an electronic database of filings made by thousands of public companies, money managers and brokerage firms, was hacked last year. Hack Response Opens SEC to Criticism 2017-09-21T04:00:00Z Donna Evers founded Evers & Co. in 1985 and grew it to a three-office brokerage firm with nearly 100 agents in the District, Maryland and Virginia. Traditional real estate brokerage firms get hit by wave of consolidation 2017-09-17T04:00:00Z Redfin, a national real estate brokerage firm, said its agents had 45 home buyers lined up to purchase homes here when the storm hit. Houston’s Unsinkable Housing Market Undaunted by Storm 2017-09-12T04:00:00Z He plans to address a conference in Hong Kong this week, held by a brokerage firm that is a unit of a huge, state-owned Chinese investment group. Hurricane Irma, Mexico City, Rohingya: Your Weekend Briefing 2017-09-10T04:00:00Z After graduating, he landed at a small brokerage firm that was led at the time by Sanford I. Weill, who would later forge Citigroup. Bridgewater’s Ray Dalio Spreads His Gospel of ‘Radical Transparency’ 2017-09-08T04:00:00Z In January, Pacific Box & Crate opened to its first tenant, BoomTown, which employs 250 people and creates software for real estate brokerage firms. A Vibrant Turnaround for a Neglected Charleston Neighborhood 2017-08-29T04:00:00Z Federal agents say Nassida and his sister led a scheme to inflate borrower income and assets to obtain millions in fraudulent loans through their mortgage brokerage firm. Man granted retrial because of sleeping lawyer pleads guilty 2017-08-29T04:00:00Z U.S. brokerage industry records show he is not now registered with any brokerage firm. Ex-investment bank vice president pleads guilty to insider trading 2017-08-10T04:00:00Z Former brokerage firm executive J. Christopher Giancarlo was approved Thursday as chairman of the Commodity Futures Trading Commission. Senate confirms Trump choice to head commodity agency 2017-08-03T04:00:00Z The Treasury is advising those with existing accounts to transfer money to another retirement account, known as a Roth IRA, at a bank or brokerage firm. Obama-era retirement savings program for workers gets the ax 2017-07-28T04:00:00Z Japanese insurance companies would show up at the brokerage firm where I was a securities analyst and ask for a list of our five favorite stocks, then hand it to their salesman and say... For Whom the Bell Tolls, Sell 2017-07-02T04:00:00Z These were the years when the future “Wolf of Wall Street” author Jordan Belfort ran a brokerage firm on Long Island, taking small companies public. The Bounty Hunter of Wall Street 2017-06-08T04:00:00Z U.S. brokerage industry records show he is not now registered with any brokerage firm. Ex-investment bank vice president pleads guilty to insider trading 2017-08-10T04:00:00Z “We used to do studios in East Harlem all the time,” said Shawn Hindes, a founder of Teacher Space, a brokerage firm that helps new teachers find apartments. The Elusive $1,500 Rental 2017-06-09T04:00:00Z He expanded into finance, acquiring a large stake in a securities brokerage firm. The Billionaire Gadfly in Exile Who Stared Down Beijing 2017-05-30T04:00:00Z A short time later, the Rotenberg brothers bought a brokerage firm called Northern European Pipe Project. Putin’s Shadow Cabinet and the Bridge to Crimea 2017-05-22T04:00:00Z At a party last summer, Ms. Ray met Michael Chadwick, a licensed salesman at the Bond New York brokerage firm. From Renter to Owner, and Still Firmly Planted in Harlem 2017-05-04T04:00:00Z The real benefit of Robinhood is that it’s fast — much faster than traditional brokerage firms and built with a real-time pace at its core. 5 apps to help grads start saving and investing 2017-04-26T04:00:00Z A proposal making haste in the Senate would order investment advisers and brokerage firms to take on fiduciary duties - requirements to act in their clients’ best interests. Nevada Legislature considers police body cams, gay marriage 2017-04-16T04:00:00Z Trump announced Tuesday that he is naming former brokerage firm executive J. Christopher Giancarlo as chairman of the Commodity Futures Trading Commission. Trump's CFTC pick intends to slash financial regulations 2017-03-15T04:00:00Z Even before that, Ms. Warren took aim at Mr. Giancarlo’s experience working at GFI, a brokerage firm that the trading commission regulates. Trump Picks a Regulator Who Could Help Reshape Dodd-Frank Act 2017-03-14T04:00:00Z So far, the big brokerage firms do not appear concerned about Robinhood. With No Frills and No Commissions, Robinhood App Takes On Big Brokerages 2017-02-18T05:00:00Z For example, be suspicious of brokerage firm research. The Dow’s Record Rise Sends a Former Wall Street Stock Broker Back in Time 2017-01-25T05:00:00Z Tiah’s legal trouble initially involved charges that he helped a businessman defraud Omega Securities, a midsize brokerage firm, of millions of dollars in a complex series of transactions. High-rollers, risk-takers and rule-benders: Donald Trump’s unorthodox roster of overseas business partners 2017-01-13T05:00:00Z That’s the conclusion of Real Trends Consulting, a research and advisory company that monitors hundreds of realty brokerage firms and compiles data on sales and commission rates of 450,000 sales agents across the country. Realty agents’ average commission for home sales heads down toward 5 percent 2017-01-09T05:00:00Z Klotz’s screen shot included a message about scheduling a golf game and dinner; research reports from various brokerage firms about oil prices and geopolitics; and a report on the Federal Reserve minutes. When the Feds Went After a Hedge-Fund Legend 2017-01-08T05:00:00Z Those regulations have driven many big institutional investors out of muni money funds, and have also driven out retail investors whose brokerage firms changed their “sweep accounts” to government funds from muni funds. Here’s one way the Fed’s rate increase gives savers a boost 2016-12-16T05:00:00Z But whether they are truly welcomed on trading desks and in brokerage firm offices is another question entirely. The Dow’s Record Rise Sends a Former Wall Street Stock Broker Back in Time 2017-01-25T05:00:00Z The result is a company that looks more like an insurance brokerage firm than an anti-virus software provider. Chertoff Group bets on a national shortage of skilled counter-hackers 2016-12-08T05:00:00Z Each of the slices gets further split between the brokerage firm and the agent. Realty agents’ average commission for home sales heads down toward 5 percent 2017-01-09T05:00:00Z Today it is possible to build a basic Couch Potato portfolio at any brokerage firm using exchange-traded funds. If you own a home, you’re a real-estate investor 2016-12-10T05:00:00Z The Interior Department’s watchdog office is still investigating the circumstances surrounding the tribe’s purchase of a New York-based brokerage firm called Westrock Advisors Inc. that ultimately went bankrupt. Audit questions tribe’s spending of $1.4M in grant money 2016-12-07T05:00:00Z After losing the governor’s race to Chris Christie, Mr. Corzine returned to Wall Street, presiding over the collapse of the brokerage firm MF Global and becoming a target of federal investigators. The Guys From ‘Government Sachs’ 2016-12-01T05:00:00Z But the county’s story is worth telling now, given that brokerage firms are supposed to soon start acting solely in customers’ best interests when handling their retirement money. Should Trump Undo Investor Protections? Meet the Brokers of Madison County 2016-11-18T05:00:00Z “Bleed for This” is a return to the kinetic style that made him such a promising commodity, minus the freshness of that 2000 film — a story about a shady brokerage firm. ‘Bleed for This’ doubles down on boxing-movie cliches 2016-11-17T05:00:00Z "Big brokerage firms are training their brokers on how to use the term without crossing the line," Rischall says. 5 Questions to Ask a Fiduciary 2016-10-26T04:00:00Z Investing in wine is much more involved than simply clicking your mouse to buy an exchange-traded fund through your online brokerage firm. How to Invest in Fine Wine 2016-10-25T04:00:00Z In exchange, the brokerage firm would steer new buyers to Ewing’s title firm. After court ruling, secret payoff schemes may raise settlement costs 2016-10-18T04:00:00Z Two years after transferring her money, she, along with some current and former colleagues, are working with a lawyer to explore their options on how to resolve their situation with the brokerage firm. Think Your Retirement Plan Is Bad? Just Talk to a Teacher 2016-10-21T04:00:00Z If you're not sure if it's worthwhile to move your cash into an internet savings account, at the very least check with your brokerage firm about your current money market fund. Rethinking Internet Savings Accounts After the New Money Market Fund Rules 2016-10-05T04:00:00Z Last year, Massachusetts’ securities regulators accused a brokerage firm affiliated with American Realty Capital of faking proxy votes. Former Real Estate Investing Executive Is Charged With Fraud 2016-09-08T04:00:00Z “By going hostile, you end up accentuating whatever bad blood was already there,” said Michael Harrison, a chemicals analyst with Seaport Global Securities, a brokerage firm. Why Airgas Was Finally Sold, for $10 Billion Instead of $5 Billion 2016-09-05T04:00:00Z One of the clearest advantages of online trading is the reduction in transaction costs and high fees associated with traditional brick-and-mortar brokerage firms. Some pros and cons of online trading 2016-09-03T04:00:00Z That fund, filled with Lehman Brothers paper that became worthless when the brokerage firm went bankrupt, “broke the buck,” meaning its share price fell below the constant $1-per-share maintained by the traditional money fund. Money-fund changes shouldn’t scare you 2016-09-03T04:00:00Z One alternative is to open an account at a brokerage firm that's part of a bank with its own internet savings account. Rethinking Internet Savings Accounts After the New Money Market Fund Rules 2016-10-05T04:00:00Z Avi Lele, CEO of brokerage firm Stockpile, says people shouldn't be too quick to put all their savings into a retirement fund. Beyond the Retirement Fund: When to Invest in the Stock Market 2016-09-01T04:00:00Z The other is to purchase a brokered CD within an IRA held at a brokerage firm. Why IRA CDs Can Be Useful for a Part of Your Portfolio 2016-08-31T04:00:00Z The company was originally formed when Boston brokerage firm Linsco bought San Diego’s financial adviser Private Ledger – hence the LPL name. LPL Financial chief: Stay on course amid volatility 2016-08-23T04:00:00Z Moore’s father passed away in 1951 and she had to take over more responsibility of the brokerage firm he founded. Suffolk woman posthumously inducted into Peanut Hall of Fame 2016-08-21T04:00:00Z Mr. Wong and other industry observers said other brokerage firms are considering culling mutual-fund offerings, barring any change in how funds are priced, to comply. Watch Out, Retirement Savers, Your Choices Are Poised to Shrink 2016-08-18T04:00:00Z Some online brokerage firms, such as Sharebuilder, allow you to buy fractional shares. Beyond the Retirement Fund: When to Invest in the Stock Market 2016-09-01T04:00:00Z On leaving the exchange presidency in 1935, he focused on an apparently thriving brokerage firm and personal investments. From Wall Street to Sing Sing 2016-08-09T04:00:00Z The same group, minus Mr. Milken, meets monthly, said an attendee, Howard Lorber, chief of the Vector Group, a tobacco producer and majority owner of the Douglas Elliman real estate brokerage firm. Jefferies, Free of the Restraints of Bigger Banks, Is Emboldened 2016-08-09T04:00:00Z A brokerage firm sells investment products based on a suitability standard. Take these steps to find a qualified financial advisor 2016-08-07T04:00:00Z In 1976, a unit of brokerage firm Lynch, Jones & Ryan began collecting analysts’ earnings estimates and tallying “surprises,” or results that beat or missed expectations. Companies Routinely Steer Analysts to Deliver Earnings Surprises 2016-08-04T04:00:00Z The Glass-Steagall Act was passed by Congress in 1933 as a means of establishing a so-called “wall of separation” between bank and brokerage firms. Excerpts from recent South Dakota editorials 2016-07-28T04:00:00Z "Be wary of advisors who work for big brokerage firms, because they will often recommend products and funds that lead to higher revenue for the firm," he says. How to Know When You Need a Financial Advisor 2016-07-27T04:00:00Z To prove fraud, however, prosecutors must show more than front-running because the trading is not necessarily deceptive, even though it breaks the rules for brokerage firms. Finding the Fraud in the HSBC Currency Trading Case 2016-07-25T04:00:00Z In contrast, the average asking rent for top-tier office space in Manhattan in the first quarter of this year was $77 a square foot, according to the brokerage firm Colliers International Group. Too Nice a Day to Stay in the Office? Then Don’t. 2016-07-19T04:00:00Z He said he ultimately opened his own stock brokerage firm and spent 28 years as a floor trader on the New York Stock Exchange. 1956 shipwreck survivor tells of near-death experience 2016-07-09T04:00:00Z A broker talks on phone as she monitors stock prices at a brokerage firm in Hong Kong, Tuesday, June 28, 2016. Asian stocks start to shake off 'Brexit' worries 2016-06-28T04:00:00Z A broker watches his screens at a brokerage firm in Sao Paulo, Brazil, Friday, June 24, 2016. British bracing for world economy to punish UK for 'Brexit' 2016-06-26T04:00:00Z Under the customer protection rule, brokerage firms are supposed to hold customer cash in a reserve account, separate from other firm assets. Bank of America to Pay $415 Million to Settle S.E.C. Inquiry 2016-06-23T04:00:00Z SigFig is trying to court more banks and brokerage firms for similar alliances. E-Trade to Introduce Robo-Advisory Service 2016-06-07T04:00:00Z Today, KCG is second only to Citadel in the market for handling stock order flow from retail brokerage firms. Exclusive: U.S. investigates market-making operations of Citadel, KCG 2016-05-10T04:00:00Z "Mulholland's staggering fraud perpetrated on the investing public was built on an elaborate offshore shell game, which included his secret ownership of an offshore brokerage firm," Brooklyn U.S. Stock promoter pleads guilty in U.S. to $250 million scheme 2016-05-09T04:00:00Z And they give brokerage firms an exemption from the requirement to act in the best interest of existing customers through what is known as “negative consent.” The Looming Danger of All the Investment Fees You Don’t See 2016-05-07T04:00:00Z Pressured by financial regulators bent on stabilizing the market, stock analysts at brokerage firms are becoming wary of issuing critical reports on listed companies. China Presses Economists to Brighten Their Outlooks 2016-05-03T04:00:00Z I took a job with a French brokerage firm specializing in corporate finance and I.P.O.s. Bold Decisions Require Cool Analysis 2016-04-24T04:00:00Z He dropped out of Bar-Ilan University in Tel Aviv after a few months and started a stock brokerage firm. Inside a Power Broker’s Homes 2016-04-21T04:00:00Z Citation jets of a similar vintage sell for around $3 million, according to aviation brokerage firms' current listings. One of Donald Trump's jets has been flying for months with an expired registration, Federal Aviation Administration records showed Tuesday 2016-04-19T04:00:00Z Under the rule, banks and brokerage firms will not be required to verify the information provided to them by the companies. New Treasury rule could make it easier to hide money in the US, critics say 2016-04-08T04:00:00Z The FinCEN rule is expected to require only that banks and brokerage firms request information from customers regarding beneficial owners, but not require them to verify that information through investigation. U.S. readies bank rule on shell companies amid 'Panama Papers' fury 2016-04-06T04:00:00Z That summer, an appellate court in Dallas sided with the brokerage firm, again ordering Ruth to pay Henry S. Miller. Elderly Texas woman at center of lawsuit over home’s sale 2016-03-24T04:00:00Z Ping An Securities, a brokerage firm, said overnight that it would resume allowing investors to short stocks Thursday. Asia Shares Decline as U.S. Dollar Strengthens 2016-03-24T04:00:00Z Chinese stocks outperformed their counterparts around the world after authorities loosened controls on brokerage firms lending money to investors for share buying. Wall St. Inches Higher as Banking and Tech Firms Lead Gains 2016-03-21T04:00:00Z “The share prices are telling us that there is a great deal of uncertainty about the merger,” said Ira Gorsky, a strategist at Elevation L.L.C., a brokerage firm. Pfizer’s Eager to Go, but the Market Has Doubts 2016-03-12T05:00:00Z Trump's bid "is becoming increasingly legitimate" on Wall Street, said Mark Luschini, chief investment strategist at the brokerage firm Janney Montgomery Scott. How would a Donald Trump presidency affect the stock market? 2016-03-07T05:00:00Z Last year, Finra sent a letter to brokerage firms asking them about potential conflicts in how they pay their brokers. Finra Begins a Review of Brokerage Firm Culture 2016-02-23T05:00:00Z Early in my career, I worked for a big brokerage firm. No Shortcuts in Evaluating Your Investment Risk 2016-02-22T05:00:00Z It is used by brokerage firms to report a taxpayer’s investment transactions to both the taxpayer and the Internal Revenue Service. The Worst Tax Form 2016-02-19T05:00:00Z He founded Cardinal Investment Company, a Dallas investment management and brokerage firm, in 1974. Former co-owner of Texas Rangers, Rusty Rose, dies 2016-01-30T05:00:00Z "Things seem unlikely to calm down," said Brad McMillan, chief investment officer of the brokerage firm Commonwealth Financial Network. How would a Donald Trump presidency affect the stock market? 2016-03-07T05:00:00Z The SEC is filling some of the 100 slots by shifting some examiners of brokerage firms to investment advisers. SEC Seeks to Ramp Up Investment-Adviser Inspections With New Hires 2016-01-29T05:00:00Z When these clients want to bet against a company’s stock, known as selling it short, they rely on brokerage firms to locate the shares they must borrow and deliver to a buyer. Case Sheds Light on Goldman’s Role as Lender in Short Sales 2016-01-29T05:00:00Z But it will initially be available to most investors only through one brokerage firm, as the securities industry hasn’t rushed to embrace the new product known as an exchange-traded managed fund. Eaton Vance’s New Breed of Fund to Begin Trading in February 2016-01-25T05:00:00Z Mr. Schulte felt this younger market wasn’t well served by the big brokerage firms. Financial Advisers Focus on Niches to Grow 2016-01-13T05:00:00Z Numerous banks, hedge funds and brokerage firms have faced investigations for so-called dividend-arbitrage tax strategies that might have generated improper tax rebates or credits. Tax-Trade Mess Lingers at Bank of America 2016-01-07T05:00:00Z About 71 percent of shippers surveyed by Cowen & Company, the New York brokerage firm, said they would not support the Canadian Pacific and Norfolk Southern deal. Regulations, Doubts and Concerns May Thwart Railway Mergers 2015-12-20T05:00:00Z Expats who use U.S. brokerage firms and banks also potentially save on fees and preserve conveniences. Six Financial Mistakes People Make When Retiring Abroad 2015-12-14T05:00:00Z Most brokerage firms won’t consider hiring a broker with three or more such complaints, no matter what the disposition, according to Douglas J. Schulz of Invest Securities Consulting. He Blew the Whistle at JPMorgan Chase, Then Came the Blowback 2015-12-10T05:00:00Z Investigators also detained top executives at brokerage firms and several officials at the country’s securities regulator. Chairman of Fosun Group of China Is Said to Be Missing 2015-12-10T05:00:00Z Mr. Malik’s only experience in financial-services was as a trainee in the New Jersey office of a small brokerage firm. Fake Hedge-Fund Manager Convicted of Securities Fraud 2015-12-04T05:00:00Z “If interest rates stay low for another three or four years, all bets are off as to how many follow,” said Lawrence Rybka, president of ValMark Securities, an insurance and brokerage firm in Akron, Ohio. Surprise: Your Life-Insurance Rates Are Going Up 2015-12-04T05:00:00Z In my personal portfolio, I own stock index funds which own shares of brokerage firms, including Charles Schwab Corp. Who Really Is a ‘Fee Only’ Financial Adviser? 2015-12-02T05:00:00Z In a Nov. 25 court filing, the Securities and Exchange Commission ordered an unregistered brokerage firm under investigation, NetCirq LLC, to comply with an SEC subpoena sent on April 7. SEC Steps Up Probe of Pre-IPO Share Trading 2015-12-02T05:00:00Z China's main share index closed down by more than 5% after several major brokerage firms announced they were under investigation. China's Shanghai Composite drops more than 5% - BBC News 2015-11-27T05:00:00Z Oliver K. Hedge, who appraises golf course properties for the real estate brokerage firm Cushman & Wakefield, said the golf industry had “made great strides” in shaking off underperforming courses in the last few years. Fewer Golfers, but Some Lush Courses Are Booming 2015-11-24T05:00:00Z He recalls a friend named Frank, who with the help of Mr. Christie’s wife, Mary Pat, a financial executive, secured a job at a brokerage firm on the top floors of the World Trade Center. After Paris, Voters Give Chris Christie a Second Look 2015-11-23T05:00:00Z I suspect owning a fund, or even public equity ownership in a brokerage firm, isn’t going to affect an adviser’s recommendation, but who knows. Who Really Is a ‘Fee Only’ Financial Adviser? 2015-12-02T05:00:00Z The disappearance of Mr. Zhao, also a former chairman and general manager of its subsidiary China Minzu Securities, triggered speculation that he may be under police detention amid a spate of probes into brokerage firms. Guotai Junan Plummets as Chairman’s Absence Deepens China Crackdown Fears 2015-11-23T05:00:00Z Late on Thursday, it was announced that China's securities regulator was investigating one of the country's largest brokerage firms, Citic. China's Shanghai Composite drops more than 5% - BBC News 2015-11-27T05:00:00Z By that point, a surge in the number of advisers retiring will likely outpace the number of rookie advisers joining brokerage firms and independent advisory practices, the researchers said. Financial-Adviser Ranks Grow for First Time in Nine Years 2015-11-23T05:00:00Z Recently approved by the Securities and Exchange Commission, Rule 2210 requires retail brokerage firms to link to BrokerCheck on their websites no later than next summer. BrokerCheck Guide to Advisers Is No Yelp 2015-11-13T05:00:00Z An article in The Wall Street Journal in 2013 noted that many advisers working for brokerage firms, such as Morgan Stanley and UBS, listed themselves as “fee only” on the CFP Board’s LetsMakeaPlan.org website. Who Really Is a ‘Fee Only’ Financial Adviser? 2015-12-02T05:00:00Z An October survey of 1,000 active investors found that they overwhelmingly preferred the idea of receiving shares of stock as a gift, according to the online brokerage firm E-Trade. 5 Great Gifts for Investors 2015-11-13T05:00:00Z They include investigations into an accounting scandal elsewhere in Mr. Schorsch’s empire and financial struggles at the brokerage firm, they said. Apollo’s Deal for Control of Schorsch Real-Estate Empire Falls Apart 2015-11-06T05:00:00Z There were 250 respondents to the survey, ranging from individual financial advisers to representatives of the largest brokerage firms. Financial Advisers Continue to Warm to ETFs, Study Finds 2015-11-05T05:00:00Z Japan Post advertised the I.P.O. on television, an unusual move to drum up interest in a stock listing, and brokerage firms reported a surge in new accounts from first-time customers looking to buy in. Japan Post in Strong Stock Market Debut in Tokyo 2015-11-03T05:00:00Z The Securities and Exchange Commission approved rules that will allow individuals to invest in small companies through Internet portals and brokerage firms, a process known as crowdfunding. Get Started: House action raises hopes for revival of Export-Import Bank loans, guarantees 2015-11-02T05:00:00Z When, or if, the price declines, the investor buys back the shares at the lower price, then returns them to the brokerage firm. Why Shorting Stocks May Be a Huge Mistake 2015-11-02T05:00:00Z For the fiscal fourth quarter ended Sept. 30, the online brokerage firm reported earnings of $216 million, or 40 cents a share, up from $211 million, or 38 cents a share, a year ago. TD Ameritrade Profit Boosted by Trading Activity 2015-10-27T04:00:00Z And the big money going to Reef management and an affiliated brokerage firm, Reef Securities, left little financial cushion. New way to bet on oil wipes out billions in investor savings 2015-10-26T04:00:00Z Q. How will you distinguish yourself from all the other commercial brokerage firms? A Conversation With Will Silverman 2015-10-13T04:00:00Z But instead of stocks as collateral, bond investors use their existing bonds to get short-term loans from brokerage firms to buy more bonds. Debt-Fueled Bond Buying in China Raises Concerns 2015-10-13T04:00:00Z During the financial crisis, brokers at the major brokerage firms suffered a steep drop in a key portion of their compensation: the value of the shares they were given in those firms. Brokers Answer the Entrepreneurial Call 2015-10-07T04:00:00Z The brokerage firm said an intrusion point was found and secured and it was strengthening its network to prevent further intrusions. Scottrade Discloses Data Breach Potentially Targeting 4.6 Million Clients 2015-10-02T04:00:00Z Reports from other brokerage firms, using different figures and methodologies, put the median price at or just below the million-dollar mark, with most calling it a record. Manhattan Apartment Prices Near Million-Dollar Mark, Reports Say 2015-10-01T04:00:00Z Sidoti & Co., a New York brokerage firm that earlier this year filed documents to go public, has said in securities filings that its analysts generally don’t cover companies that limit access to their senior executives. How Some Investors Get Special Access to Companies 2015-09-28T04:00:00Z Such borrowing is done through bond repurchase agreements, or repos—which allow institutional investors to swap bonds for short-term cash from other institutions such as brokerage firms. Debt-Fueled Bond Buying in China Raises Concerns 2015-10-13T04:00:00Z Ms. Winslow acquired thousands of clients over the years and became vice chairman of what is now Ferris, Baker Watts, one of the largest brokerage firms in the mid-Atlantic region. Gail Winslow, brokerage executive, dies at 85 2015-09-21T04:00:00Z Normally, the combination of low valuation and money inflows signals a good buying opportunity, said Chris Wood, a strategist at Asian brokerage firm CLSA. Hong Kong Stocks Still Cheap Despite Cash Inflows Into City 2015-09-21T04:00:00Z Still, most brokerage firms expect that prices will continue to increase and inventory will remain in short supply as the end of the year approaches. Manhattan Apartment Prices Near Million-Dollar Mark, Reports Say 2015-10-01T04:00:00Z Sidoti also offers clients access to senior management, “which our clients can use to improve their trading decisions and ultimately their investment returns,” according to the brokerage firm. How Some Investors Get Special Access to Companies 2015-09-28T04:00:00Z Now, employers are merging in a much broader array of topics in a more holistic approach, says Kim Davis, senior vice president of human resources for NFP, an Austin-based employee benefits and insurance brokerage firm. What to Expect From Your Company's Financial Wellness Plan 2015-09-17T04:00:00Z With the government now trying to prop up the markets, big brokerage firms like Citic Securities are tasked with buying stocks to help stabilize shares. Citic Securities, a Pillar of Finance in China, Is in Beijing’s Cross Hairs 2015-09-17T04:00:00Z An easier alternative is a donor-advised fund, where a community foundation or brokerage firm like Schwab or Fidelity manages the assets and disburses the grants. When Family Members Run Foundations, Scrutiny Never Ends 2015-09-11T04:00:00Z It also formed an exclusive relationship with a Chinese brokerage firm. How Immigrants’ Cash Funds Luxury Towers in the U.S. 2015-09-10T04:00:00Z At least four other brokerage firms said last month that they were being investigated by regulators for failing to properly identify their clients. In China, a Forceful Crackdown in Response to Stock Market Crisis 2015-09-09T04:00:00Z Attorney’s office in Connecticut on Tuesday brought charges against three former traders at New York-based brokerage firm Nomura Securities International who allegedly lied about the prices of residential mortgage-backed securities to make money. Former Nomura Traders Charged Over Mortgage-Backed Securities 2015-09-08T04:00:00Z The Inspector General’s office is also still investigating the circumstances surrounding the tribe’s purchase of a New York-based brokerage firm called Westrock Advisors Inc. that ultimately went bankrupt. Feds auditing nearly $20M in grants to Lower Brule tribe 2015-09-04T04:00:00Z The firm still owned five stocks at the end of June, including its biggest bet, brokerage firm Sealand Securities. Chinese Companies Share Investors’ Pain 2015-09-04T04:00:00Z As banks and brokerage firms do less trading, some observers see opportunity for hedge funds. Market Bets Abound, but Where Are the Banks? 2015-09-02T04:00:00Z In late August, it announced the arrests of eight executives at state-owned Citic Securities, the country’s largest brokerage firm and investment bank, including four members of its senior management, on suspicion of insider trading. In China, a Forceful Crackdown in Response to Stock Market Crisis 2015-09-09T04:00:00Z On Tuesday, several large Chinese brokerage firms said that they would increase the amount they traded to help support the stock markets. Chinese Shares Extend Their Drop After U.S. Sell-Off 2015-09-01T04:00:00Z China continued its probe this week into recent irregularities in the stock market, naming two more executives of the country’s top brokerage firm Citic Securities in an investigation into market manipulation and insider trading. China Investigates Top Brokerage for Market Manipulation 2015-08-27T04:00:00Z Brokerages prefer to offer these types of loans to clients that have diversified portfolios of stocks and bonds, according to lending executives at brokerage firms and analysts. Margin Calls Bite Investors, Banks 2015-08-26T04:00:00Z Chinese police are investigating four securities brokerage firms for possible stock manipulation amid market turmoil. China investigates securities brokerages amid turmoil - BBC News 2015-08-26T04:00:00Z Four other top brokerage firms said in announcements late on Tuesday that they were being investigated by the securities regulator over suspected violations of China’s laws on verifying the identity of securities clients. As Markets Flail, China Investigates Large Brokerage Firms 2015-08-26T04:00:00Z “Even the most pessimistic observers think China will still grow by 4 or 5 percent,” said Kate Warne, investment strategist at Edward Jones, a brokerage firm based in St. Louis. Advisers Work to Calm Fearful Investors 2015-08-24T04:00:00Z The selloff overwhelmed some online brokerage firms as investors tried to access trading accounts amid a plunge in the markets. Investors Grasp for Answers Amid Wild Stock Rout 2015-08-24T04:00:00Z A massive selloff overwhelmed some online brokerage firms Monday as investors tried to access their trading accounts amid a plunge in the markets. Online Brokerage Firms Overwhelmed by Selloff 2015-08-24T04:00:00Z Business owners looking to sell should start making plans at least a year or two in advance, suggests Jeffrey E. Merry, the founder of the Business House, a business brokerage firm in Gainesville, Ga. Baby Boomers Ready to Sell Businesses to the Next Generation 2015-08-19T04:00:00Z The police are investigating eight executives from Citic Securities, China’s biggest brokerage firm, on suspicion of illegal securities trading, Xinhua, the official news agency, reported late Tuesday. As Markets Flail, China Investigates Large Brokerage Firms 2015-08-26T04:00:00Z Now a large bond brokerage firm is considering installing circuit breakers to temporarily halt trading in Treasuries following large price moves. Is the Bond Market in a Bubble? 2015-08-13T04:00:00Z Attorneys for the development company, owned by investor Hubert N. Hoffman and his family, and for the brokerage firm JLL informed a U.S. Settlement reached over $6.6 million commission for National Science Foundation lease 2015-08-10T04:00:00Z Prohibiting large shareholders and executives from selling their stocks, as announced last month, was a bold step, as was providing central-bank money to brokerage firms for equity purchases. The World-Wide Undermining of Free Markets 2015-08-10T04:00:00Z "Look into starting a Roth IRA at a discount brokerage firm, and set up automatic monthly contributions." How to Save for Retirement at Your First Job 2015-08-03T04:00:00Z Chinese media reported over the weekend that one of the restricted accounts was co-owned by Citadel and major Chinese brokerage firm Citic Securities. Citadel Says One of Its China Accounts Was Suspended 2015-08-02T04:00:00Z Another recent example is how the brokerage firm UBS reclassified its clients that were heavily invested in bonds from being "conservative" to "aggressive," likely to lessen any possible future legal liability. Is the Bond Market in a Bubble? 2015-08-13T04:00:00Z THE PROCESS: Setting up an auction for a luxury home takes about 60 days from the time the seller signs with a brokerage firm. Luxury Home Auctions Glance 2015-08-01T04:00:00Z The industry standard for a buyer’s premium is about 10 percent, which is used to pay the brokerage firm, closing costs and commission to an agent who brought a buyer to the auction. Owners turning to auctions to sell their high-end properties 2015-08-01T04:00:00Z The industry standard for a buyer's premium is about 10 percent, which is used to pay the brokerage firm, closing costs and commission to an agent who brought a buyer to the auction. No longer a dumping ground, auctions become viable option for luxury home sellers 2015-08-01T04:00:00Z Local brokerage firms criticized the limits, saying they would distort the market. Greek Markets Set to Reopen, With an Asterisk 2015-07-31T04:00:00Z Typically, the brokerage firm pays the settlements to clients. Former Merrill Lynch Broker Tom Buck Barred Permanently From Industry 2015-07-28T04:00:00Z The fee is used to pay the brokerage firm, any real estate agent that brings a buyer to the auction — generally 3 percent — and all costs for closing the sale. Luxury Home Auctions Glance 2015-08-01T04:00:00Z While home prices fell, Sklar earned a real estate agent’s license and opened a brokerage firm. Under Jeb Bush, housing prices fueled Florida’s boom. Then it all went bust. 2015-07-27T04:00:00Z Ted Weisberg, the president of the brokerage firm Seaport Securities, which was hit in June, said that he initially thought the message was a joke. For Ransom, Bitcoin Replaces the Bag of Bills 2015-07-25T04:00:00Z That is better than Evercore’s 22 percent, adjusted for costs from last year’s acquisition of Institutional Strategy & Investment, a research brokerage firm. Lazard and Evercore Do Better for Owners Than Big Rivals 2015-07-23T04:00:00Z Blackstone and its chief rival in this market, Goldman Sachs Group Inc, manage half of all liquid alternative assets sold by big brokerage firms, according to Dover Financial Research. Special Report: Blackstone champions hedge funds for the little guy 2015-07-22T04:00:00Z The relationship was lucrative, generating millions of dollars in revenue for the brokerage firm, according to estimates by the U.K.’s financial regulator. U.K. Police Drop Investigation Into Tradition Financial Services 2015-07-22T04:00:00Z For the quarter ended June 30, the online brokerage firm reported earnings of $197 million, or 36 cents a share, up from $190 million, or 34 cents a share, a year ago. Ameritrade Profits on Improved Daily Average Trades 2015-07-21T04:00:00Z As shares fell by as much as a third, brokerage firms raised a combined 118.6 billion yuan by selling short- and long-term bonds, according to data provider Wind Info. Beijing’s Big Stock Push Still Well Short of Goal 2015-07-17T04:00:00Z This leverage could threaten the stability of banks and brokerage firms. 7 big questions about China’s astonishing stock market crash and what happens next 2015-07-08T04:00:00Z They also fret that nobody really understands the risks involved when steep securities losses are suddenly incurred in a country where many brokerage firms and asset management companies are weakly capitalized. Signs of a Growing Hush in China’s Economy 2015-07-10T04:00:00Z If the named beneficiary is different than the beneficiary listed in the will, the information filed with the brokerage firm prevails. The Hassle of Inheriting a Brokerage Account 2015-07-10T04:00:00Z The average retail stock customer most likely did not notice the glitch because many brokerage firms use the 10 other Wall Street exchanges, which kept operating. Your Thursday Briefing 2015-07-09T04:00:00Z When the exchange went offline, brokerage firms just pushed their trades to other exchanges. What average investors should know about the New York Stock Exchange closure 2015-07-08T04:00:00Z Over the weekend, Beijing suspended new stock listings and persuaded a number of large brokerage firms to set up a $19.4 billion stabilization fund to help support the markets. Scant Relief From Beijing for Bruised Investors 2015-07-07T04:00:00Z The state-owned China Securities Futures Corporation exists to help ensure that the country’s thinly capitalized brokerage firms are able to sustain margin lending to stock buyers even during crises. Signs of a Growing Hush in China’s Economy 2015-07-10T04:00:00Z Beneficiaries or executors should get the tax identification number for the estate, because brokerage firms can’t distribute money from the account without it. The Hassle of Inheriting a Brokerage Account 2015-07-10T04:00:00Z Mr. Gong said Monday, as he watched a board of flickering stock prices at a brokerage firm in downtown Shanghai. Chinese Investors Who Borrowed Are Hit Hard by Market Turn 2015-07-06T04:00:00Z At a branch of the China Securities brokerage firm near the Dongzhimen neighborhood in Beijing, investors gossiped in front of nine large LED screens flashing stock prices. Chinese Share Sell-Off Spills Over to Hong Kong 2015-07-06T04:00:00Z At the time, Hayworth, who asked that her first name be withheld, was working as an office manager and executive assistant at a freight brokerage firm. Lawyer for environmental group 'interrogated repeatedly' at US border 2015-07-06T04:00:00Z But the Shanghai market jumped sharply in early trading as the government poured money into brokerage firms to help them and their customers buy shares. Muted Dismay in Asian Markets After Greek Vote 2015-07-05T04:00:00Z On Saturday, the country’s biggest brokerage firms unveiled a government-endorsed plan to buy shares starting on Monday, and both of the country’s stock exchanges suspended all further initial public offerings of stock. Next Steps After Greek ‘No’ Vote; Comic-Con’s 46th Year 2015-07-05T04:00:00Z The country suspended new stock listings, and 21 brokerage firms agreed to set up a $19 billion stabilization fund to help prop up the markets. Chinese Investors Who Borrowed Are Hit Hard by Market Turn 2015-07-06T04:00:00Z Acting at the Chinese government’s behest, 21 mainland brokerage firms set up a $19.4 billion fund over the weekend to buy large companies’ stocks. Chinese Share Sell-Off Spills Over to Hong Kong 2015-07-06T04:00:00Z But at the moment, there is no sign of any big bank or brokerage firm in severe distress as a result of the stock slide. Beijing Aims Big Booster Shot at Teetering Stock Market 2015-07-05T04:00:00Z A ninefold increase in so-called margin lending by brokerage firms over the past two years helped fuel the rally. China’s Market Rout Is a Double Threat 2015-07-05T04:00:00Z The current price is about half what Chevron needs for the facility to make money, according to the brokerage firm Sanford C. Bernstein & Company. Logistics and Lizards Disrupt Chevron’s Project Off Australia 2015-07-03T04:00:00Z Last month, Willis Group acquired Evolution Benefits Consulting, a Pennsylvania health and welfare benefits advisory firm, and in late April it announced it would fully acquire Gras Savoye, one of France’s largest insurance brokerage firms. Towers Watson merges with London-based consulting firm in $18 billion deal 2015-06-30T04:00:00Z Mr. Rudder, 45, is the founder and principal of the Rudder Property Group, a boutique commercial brokerage firm that specializes in the sale of office condominiums and co-ops in Manhattan, including 866 United Nations Plaza. A Conversation With Michael Rudder 2015-06-30T04:00:00Z Ms. Fox is the founder and president of the Fox Residential Group, a boutique brokerage firm that does business mainly in Manhattan and Brooklyn. A Conversation With Barbara S. Fox 2015-06-23T04:00:00Z The finance corporation lends to brokerage firms, which then lend the money to customers who want to buy shares. China’s Market Rout Is a Double Threat 2015-07-05T04:00:00Z Schwab is one of the largest brokerage firms in the U.S. with just under 9.40 million active brokerage accounts on its platform at the start of the year. Growing Asset Base Could Offset Sluggish Trade Volumes For Charles Schwab In The Long Run 2015-06-17T04:00:00Z Since this robo is a subsidiary of brokerage firm TradeKing it is possible to access both a managed account and funds you invest yourself in the same place. What's A Robo-Advisor, Really? 2015-06-11T04:00:00Z Have you ever heard a major brokerage firm saying that this year is going to stink? How Ignoring Stock Market Forecasts Will Make You A Better Investor 2015-06-06T04:00:00Z In other signs of a turnaround, a local insurance brokerage firm, Par Corretora, held an initial public offering on Tuesday, the first Brazilian company to do so in almost eight months. Markets Reopen to Brazilian Companies as National Economy Recovers 2015-06-03T04:00:00Z Options trading is proliferating with the advent and innovation of retail option trading platforms, brokerage firms and trading schools. Assessing The Tax Treatment Of Options Trading 2015-05-29T04:00:00Z That move, and the subsequent pressures that the firm faced as a public company, would lead to Morgan Stanley’s merger in 1997 with the retail brokerage firm Dean Witter. S. Parker Gilbert, Who Led Morgan Stanley, Dies at 81 2015-05-29T04:00:00Z DOL estimates that there are approximately 20,000 small brokerage firms that will be affected. If You Like Your Financial Adviser, You Should Be Able To Keep Your Financial Adviser 2015-05-21T04:00:00Z In June 2013, the well-known brokerage firm Oppenheimer issued a report entitled “Effect of Higher Rates on Fixed Income Portfolios,” widely taken as a warning about bond investments. How To Afford Retirement Travel 2015-05-18T04:00:00Z And in February, the firm took over another brokerage firm, the GFI Group, after defeating the CME Group in a hotly contested fight. BGC Partners Continues Spree With Deal to Buy Real Estate Firm 2015-05-18T04:00:00Z Enter big brokerage firms with services not typically associated with wealth management. Guiding Wealthy Retirees on Health Expenses 2015-05-13T04:00:00Z James declined to say whether Clawson sought permission from the House Ethics Committee or to identify which brokerage firm Clawson used. Florida congressman flipped shares in IPO despite US law 2015-05-07T04:00:00Z Even with these built in advantages, many other types of wealth management practices, such as those at many brokerage firms, are dramatically more successful. Accounting Firm Wealth Management Practices Often Severely Underperform 2015-05-05T04:00:00Z Since the failure of Lehman Brothers, there’s been a full-fledged exodus of wealth management professionals from large brokerage firms and banking conglomerates. The $12 Billion Denver Wealth Manager That's Ahead Of The Curve, Not Chasing It 2015-05-01T04:00:00Z That summer, I was interning for brokerage firm Dean Witter in the World Trade Center. Robitussin for Brain Cancer, Part I 2015-04-27T04:00:00Z As of March 31, it was the largest brokerage firm as measured by its more than $2.52 trillion in client assets, Bettinger said. Schwab CEO praises fast 'robo advisor' start, laments low rates 2015-04-23T04:00:00Z In fact, many brokerage firms encourage or require the sale of such investment products because they generate higher commissions. New York City Comptroller Wants to Make Fiduciary Status Clear 2015-04-16T04:00:00Z The reform plan would work like this: Today, employers, banks, brokerage firms and pretty much every other financial organization in the country send the federal government detailed records about our economic activity every year. TurboTax or I.R.S. as Tax Preparer? Intuit Has a Favorite 2015-04-15T04:00:00Z Dominguez readily recalls the experience that sent sent her fleeing from the conflict-riddled world of financial advisors housed inside a large brokerage firm. The $12 Billion Denver Wealth Manager That's Ahead Of The Curve, Not Chasing It 2015-05-01T04:00:00Z But it's simple to move your investments between different brokerage firms these days with electronic asset transfers, so you should still consider making the switch. 3 Investment Maneuvers That Will Help You at Tax Time 2015-04-14T04:00:00Z In this last segment, we will touch upon a range of ways that a brokerage firm will establish basis incorrectly. Family Office Oversight: Is Your Broker's 1099 Correct? -- Part 3 2015-04-03T04:00:00Z Traditional brokerage firms once made plenty of money through commissions that paid their financial professionals over the many years that clients held onto certain mutual funds. Why Paying for Financial Advice Makes Sense 2015-04-03T04:00:00Z They also started a brokerage firm, Dallien Realty, to keep on top of market rents and trends. Buying Apartment Buildings in New York and Beyond in a Strategic Bet 2015-04-01T04:00:00Z In spite of no requirement to report on earlier-acquired assets, some brokerage firms will nonetheless report basis on these securities. Family Office Oversight: Is Your Broker's 1099 Correct? -- Part 1 2015-03-31T04:00:00Z At that time, he was at a big brokerage firm that did a lot of research, and he read a long report on InfoSpace. The 1-Page Financial Plan: 10 Tips for Getting What You Want From Life 2015-03-31T04:00:00Z Let’s now say that you transfer these shares to your own account at a different brokerage firm. Family Office Oversight: Is Your Broker's 1099 Correct? -- Part 3 2015-04-03T04:00:00Z Misleading advertisements. The report includes a lengthy sample of misleading advertising on the part of major brokerage firms: Report Says Ads Show Illusion of Fiduciary Duty 2015-03-27T04:00:00Z Jerome Huez is president of The Loft Warehouse, a real estate brokerage firm. What it takes to call Detroit home for natives and newcomers 2015-03-11T04:00:00Z Whether or not a brokerage firm maintains or reports basis data, the taxpayer is still required to maintain records to substantiate basis. Family Office Oversight: Is Your Broker's 1099 Correct? -- Part 1 2015-03-31T04:00:00Z Take a look at what you’re paying to see what your brokerage firm might be making off you and consider asking for a lower commission price. 5 Ways to Save When You Invest Online 2015-03-10T04:00:00Z Chances are that the brokerage firm will carry over the basis from your original account. Family Office Oversight: Is Your Broker's 1099 Correct? -- Part 3 2015-04-03T04:00:00Z “When I left the big brokerage firm, one of the things I was most excited about was telling my clients, ‘I’m a fiduciary now.’ Is Your Financial Advisor Working for You? 2015-03-09T04:00:00Z When Jon Stein started Betterment it was out of sheer frustration with his existing brokerage firms who made it complicated to sign up and difficult to navigate through their services. 'Robo-investing' reaches the masses 2015-03-02T05:00:00Z A brokerage firm will likely not track these royalty trust basis adjustments. Family Office Oversight: Is Your Broker's 1099 Correct? -- Part 1 2015-03-31T04:00:00Z After military service and several positions at a management consultancy, Mr. Benmosche joined Paine Webber, a brokerage firm, where he remained for 14 years. Robert Benmosche, Ex-MetLife Chief Who Rescued A.I.G., Dies at 70 2015-02-27T05:00:00Z Let’s say you purchase 1000 shares of XYZ at Brokerage Firm A. At a subsequent point in time, you transfer those shares to a different account at that same brokerage firm. Family Office Oversight: Is Your Broker's 1099 Correct? -- Part 3 2015-04-03T04:00:00Z Since it’s tax season, it’s also IRA promotions season: those mouthwatering lures from brokerage firms and banks to get you to bring them your Individual Retirement Account cash. Sizing Up Fidelity's 10% Match On IRAs 2015-02-27T05:00:00Z When he died, he was chairman of Kahn Brothers, a privately owned investment advisory and brokerage firm, which manages $1 billion through its subsidiaries. Irving Kahn, Oldest Active Wall Street Investor, Dies at 109 2015-02-26T05:00:00Z On Friday, U.S. brokerage firm Keefe, Bruyette & Woods cut its rating on the Canadian banking sector to "underweight" from "market weight." Investors sour on Canadian banks ahead of earnings 2015-02-22T05:00:00Z No brokerage firm wants to get tied up in client litigation in the event that one of those preferreds ends up in a bankruptcy. Why You Should Prefer Preferreds 2015-02-11T05:00:00Z Shortly after the sale, the brokerage firm Douglas Elliman sued the former owners of the condo, claiming the company was due brokerage fees. Amid Complaints in India, a Real Estate Deal in Manhattan 2015-02-09T05:00:00Z If you own index funds created by your brokerage firm, it very often will be free to you to buy and sell those funds. When ETFs Beat Index Funds 2015-02-06T05:00:00Z The organization conducted the survey last year to gain a better understanding of what brokerage firms, both large and small, are doing to guard against a serious attack. Brokerage Firms Most Worried About Hackers and Rogue Employees, Finra Report Says 2015-02-03T05:00:00Z Some hedge funds, like one run by the Fortress Investment Group, took steep losses; the IG Group, a publicly traded British brokerage firm and financial trading company, issued a profit warning. Polish Homeowners Feel the Weight of a Heftier Swiss Franc 2015-01-28T05:00:00Z It fought the discount brokerage firm Charles Schwab & Company in 2012 after the firm tried to force customers to waive their rights to bring class-action lawsuits, winning its case last April. In Push for Change, Finra Is Opposed by the Wall St. Firms It Regulates 2015-01-26T05:00:00Z Mr. Otton, a retired investment manager with the Robertson Stephens brokerage firm, who lent the Hills the money to get the business started, is the biggest unpaid creditor in the bankruptcy. In Vino Veritas. In Napa, Deceit. 2015-01-24T05:00:00Z Holders of Swiss francs profited handsomely, but many investors and brokerage firms, were pounded with losses. What happened to the Swiss franc? 2015-01-16T05:00:00Z The Finra report recommended that all brokerage firms assess their security as well as review the safeguards put in place by the vendors they employed. Brokerage Firms Most Worried About Hackers and Rogue Employees, Finra Report Says 2015-02-03T05:00:00Z In some states the assets are managed directly by a board, in others a third party, such as a brokerage firm. How to Save for College 2015-01-20T05:00:00Z Finra said that for a seven-year period at the brokerage firm Lincoln Financial Services, “certain current and former employees were able to access customer account records through any Internet browser using shared login credentials.” In Push for Change, Finra Is Opposed by the Wall St. Firms It Regulates 2015-01-26T05:00:00Z To help keep that debt in check, the China Securities Regulatory Commission on Friday temporarily banned new margin financing at three of China’s biggest brokerage firms. Forceful Actions by China to Regulate Markets Send Shares Plunging 2015-01-19T05:00:00Z Holders of Swiss francs profited handsomely, but many investors and brokerage firms were pounded with losses. Swiss franc's surge causes turmoil in global financial system The impacts on brokerage firms were hardly universal. Swiss Franc Stunner Claims Victims, Currency Broker FXCM Bludgeoned 2015-01-16T05:00:00Z There were other casualties in the currency markets, including several small brokerage firms in Britain and New Zealand. Swiss Move Prompts Fears of Sustained Market Tumult 2015-01-16T05:00:00Z But the brokerage firms that pay Finra to be their regulator say that keeping so much investor information in one place is a paradigm of regulatory overreach and an invasion of customers’ privacy. In Push for Change, Finra Is Opposed by the Wall St. Firms It Regulates 2015-01-26T05:00:00Z In August 1971, Mr. Johnson decided to take Franklin public in an initial public offering underwritten by the Mayflower Securities Company, a New York brokerage firm owned by Eugene Mulvihill. Mutual Fund Billionaire Accused of Fraud in Suit 2015-01-14T05:00:00Z Banks and brokerage firms were going nuts — it was their financial fanfare for the common man — promoting the accounts on TV, radio and in print. The IRA At 40: Has It Lived Up To Its Promise? 2015-01-14T05:00:00Z With a lot of consolidation and merging of real estate companies, realtors increasingly find themselves working for large brokerage firms like Coldwell, which is owned by Realogy Holdings.. In Malibu Luxury Home Listings, Thousands of Square Feet Often Go Missing 2015-01-13T05:00:00Z “You are beginning to see the effects of overcapacity on airline profitability,” said Nick Cunningham, an aerospace analyst at Agency Partners, a London brokerage firm. Falling Oil Prices, a Boon to Airlines, Pose a Challenge for Airbus and Boeing 2015-01-13T05:00:00Z The brokerage firm Fidelity announced a new feature Monday on its mobile app: “Stocks Nearby.” Fidelity Introduces Location-Based Stock Picking App, for Some Reason 2015-01-12T05:00:00Z The bill would exempt some private equity firms from registering as brokerage firms with the S.E.C. Kicking Dodd-Frank in the Teeth 2015-01-10T05:00:00Z Of course, you may not need to keep paper copies of your investment records if your brokerage firm allows you to log into your account and view them electronically. Cleaning Your Financial House: 4 Items to Keep and 4 to Shred 2015-01-08T05:00:00Z I would hope, as this practice takes hold, that consumer reporters would ask brokerage firms why they won’t allow their brokers to sign such an oath. Fiduciary Fight Part 4: Fiduciary Oath 2015-01-07T05:00:00Z The broker did not want to be identified because he is not authorized to speak for his brokerage firm. Steven Cohen's New Firm Posts Big Gain in 2014 Despite Investigations 2015-01-05T05:00:00Z He’s working as an associate benefits analyst at Lockton Cos. in Kansas City, an insurance brokerage firm. Young Kansas man fights off anorexia 2015-01-04T05:00:00Z What lessons or themes did you bring with you to Buscemi from your brokerage firm and how do you and your team approach things differently? Former Wall Street Broker Turned Sneaker God: Jon Buscemi and the $865 Price Tag 2015-01-03T05:00:00Z Richard Eastern, chief executive of Washington Property Solutions in Bellevue, Wash., a brokerage firm specializing in short sales, says people such as Foster are the lucky ones. Congress enacts tax break for homeowners who won debt forgiveness from lenders 2014-12-31T05:00:00Z Charles Schwab is one of the largest brokerage firms in the U.S. with over 9 million brokerage accounts on its platform and nearly $2.5 trillion worth of net client assets under management. Charles Schwab's Year In Review: Asset Management, Interest Revenues, Trading In Focus 2015-01-02T05:00:00Z “Why do gamblers continue betting even when they are losing money?” he asked while flicking through screens of stock prices and charts on a trading terminal at a Beijing brokerage firm this month. Seeking to Ride on China's Stock Market Highs 2014-12-29T05:00:00Z Robinhood, a new brokerage firm based in Palo Alto, Calif., whose founders were inspired by the Occupy Wall Street movement, introduced an app this month that lets customers trade stocks without paying commissions. Financial Start-Ups Aim to Court the Anti-Finance Crowd 2014-12-22T05:00:00Z Real estate agents at four different brokerage firms in Changsha all said that bank approval of mortgage applications, which took two months early this year, now takes just a month. In China’s Housing Market, Pressure to Sell, Hesitation to Buy 2014-12-18T05:00:00Z “The penalty for being big and complex might be going up,” said Mike Mayo, a bank analyst at the brokerage firm CLSA. With New Capital Rule, Fed Nudges Big Banks to Shrink 2014-12-09T05:00:00Z The total reached 38 percent at Morgan Stanley, the biggest brokerage firm with more than 16,000 advisers. UBS wants 'super-teams' to draw more assets from the very wealthy 2014-12-09T05:00:00Z “You mean like the large Wall Street brokerage firms?” Changing the Money Conversation 2014-12-09T05:00:00Z A number of new financial start-ups are trying to reach younger and middle-class Americans by upending the customary fee structure of traditional brokerage firms and money managers. Financial Start-Ups Aim to Court the Anti-Finance Crowd 2014-12-22T05:00:00Z He founded a commercial real estate brokerage firm and the grass-roots organization Change Maryland. Hogan wins shocker in Maryland, Walker captures Wisconsin on big night for GOP governors 2014-11-04T05:00:00Z Most are issued by banks, insurance companies and brokerage firms so keep your portfolio allocation to 10-15% maximum. Vampire Inflation: What To Buy To Fight It 2014-11-04T05:00:00Z This aspect of the deal will be managed by Loyal3, a brokerage firm catering to individuals. Virgin America Aims to Raise $300 Million in I.P.O. 2014-11-03T05:00:00Z Outside of working in a position that requires being a CPA, they may also work at a brokerage firm or in banking, he says. Get on the Fast Track for Employment With a Professional Major 2014-10-30T04:00:00Z Wall Street's industry funded watchdog plans to intensify its scrutiny of cyber security practices at brokerage firms in 2015 and is hiring technology savvy examiners to help boost its efforts, an official said on Wednesday. Wall Street watchdog to bolster reviews of brokerage cyber security 2014-10-29T04:00:00Z To a large degree, the very wealthy are gravitating to multi-family offices including multi-family office practices that are embedded in larger organizations such as accounting, law, and brokerage firms. Multi-Family Offices Embrace Critical Lifestyle Services 2014-10-29T04:00:00Z The brokerage firm Charles Schwab said on Monday that it would enter the online investment market early next year and would offer its advisory services to those customers without charge. Charles Schwab to Offer Free Advisory Service for Online Investments 2014-10-27T04:00:00Z Any system where brokerage firms police themselves are not nearly as strict as a third-party regulator operates free from conflicts of interest. Find a financial adviser who will put your interests first The paperwork for these transactions was handled by the Vickers da Costa brokerage firm, which included Churchill’s brother, Jack, as a stock broker and partner. Prohibition and Profit: The Secret Kennedy-Churchill-Roosevelt Deals 2014-10-21T04:00:00Z The Financial Industry Regulatory Authority is conducting its own broad look at how American brokerage firms and asset management firms deal with assaults from hackers and how they oversee their vendors. After JPMorgan Cyberattack, a Push to Fortify Wall Street Banks 2014-10-21T04:00:00Z For many investors, “talk to Chuck” is shorthand for getting sound investment advice thanks to years of commercials from brokerage firm Charles Schwab Charles Schwab featuring its eponymous founder. Talkin' To Chuck: Charles Schwab On The Most Important Thing About Investing 2014-10-18T04:00:00Z Most brokerage firms charge their customers in the range of $7-10 per trade and require their customers to maintain a minimum account balance in the range of $500 to $2,500. Can Zero-Commission Trading App Robinhood Challenge Large Brokerages? 2014-10-15T04:00:00Z It favors the brokerage firm and its employees over the investor. Find a financial adviser who will put your interests first Most brokerage firms make more money selling you actively managed funds than they do selling you ETFs. The Hidden Risks and Costs of ETFs 2014-10-07T04:00:00Z By the end of the year, the agency expects to publish what it considers best practices for dealing with vendors and cybersecurity, a product of its review of 18 large to midsize brokerage firms. After JPMorgan Cyberattack, a Push to Fortify Wall Street Banks 2014-10-21T04:00:00Z |
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