Sentences with phrase «department at a brokerage firm»

Penny stock promoters are often part of the marketing department at a brokerage firm.

Not exact matches

If you would like to revoke your consent to householding and in the future receive your own Notice of Internet Availability of Proxy Materials (or your own set of proxy materials, as applicable), or if your household is currently receiving multiple copies of the same items and you would like in the future to receive only a single copy at your address, please contact Householding Department by mail at 51 Mercedes Way, Edgewood, New York 11717, or by calling 1-800-542-1061, and indicate your name, the name of each of your brokerage firms or banks where your shares are held, and your account numbers.

But depriving three big brokerage firms of allocations seems to be a little at odds with what the Treasury Department, the company's biggest shareholder, had hoped to achieve.

The book Rocking Wall Street: Four Powerful Strategies That will Shake Up the Way You Invest, Build Your Wealth And Give You Your Life Back received a highly complimentary statement from a senior portfolio manager at a major brokerage firm that lead the firm's compliance department to issue a written warning to Mr. Marks not to use his quote to promote the book.

At this time, real estate professionals engaged in brokerage or property management activities and their real estate firms are not required to implement anti-money laundering or anti-terrorist financing programs, but the Treasury Department may expand coverage of these requirements to include real estate professionals.