Sentences with phrase «behalf of brokerage houses»

With significant experience defending securities brokers and brokerage firms in arbitration proceedings before the NASD, the NYSE, and the AAA, Mr. Nelson has successfully tried cases on behalf of brokerage houses in Colorado, California, Nevada, Utah, Oklahoma and Missouri.

Not exact matches

Give - Up: A procedure whereby a trade / transaction is executed by one party (i.e., a broker, brokerage or clearing house) on behalf of another party and the executed trade / transaction is recorded as having been executed by that other party.

In developed markets there are mortgage brokers and brokerage houses who sell these mortgages on behalf of the lenders.

Successful representation of US - based and international clients in federal and state courts in a wide range of matters, including claims of breach of licensing, distribution, franchise, agency, brokerage, long - term supply and manufacturing services agreements; cross-border disputes, and trademark infringement actions on behalf of a fashion house.

As one of the few brokerages with an in - house claims department, should you experience a claim, we will act as advocates on your behalf to ensure your claim is handled fairly and efficiently.