Sentences with phrase «of brokerage firms»

«I'm always a little suspect of brokerage firms because of the hype — a lot of firms throw out pretty pictures and don't have thorough information,» Swig says.

At that time, two self - regulatory bodies, the National Association of Securities Dealers (NASD) and the New York Stock Exchange (NYSE), were formed to provide regulatory oversight of brokerage firms and stock brokers who agreed to their rules, regulations, and authority.

Here we'll cover what a brokerage is and what types of brokerage firms there are.

A securities investor protection corporation (SIPC) is a nonprofit corporation created by an act of Congress to protect the clients of brokerage firms that are forced into bankruptcy.

That led to further evaluation of the brokerage firms, not just the brokers themselves, but also their products, services, and tools, because a single change could affect my entire perception of the broker.

Withdrawal of brokerage firms from the equity research business + downward pressure on fees + investor reallocation toward index investing have made traditional active management considerably less lucrative than it was during my working career.

As the target markets of these brokerage firms are clients from all over the world, these brokers usually adopt the trading platforms that have the widest appeal.

There are various types of brokerage firms and brokerage accounts.

I've invested at a number of other mutual fund and brokerage companies, including Fidelity, Schwab, Interactive Brokers, and Wells Fargo (WellsTrade), not to mention a number of brokerage firms I used many years ago.

All of the brokerage firms we reviewed charged anywhere from $ 60 to $ 150 to transfer out of a TFSA.

Some of the brokerage firms run a separate PR department to just generate a positive virtual repute for the brokerage firm and win more clients.

There are two different types of brokerage firms, full service and discount.

A lot of brokerage firms have dividend reinvestment programs for their clients, but Scottrade's program takes it one step further.

Those cases include decisions addressing the jurisdiction of the SEC, the CFTC and bank regulators over newly created derivatives and other financial instruments; the scope of the definition of a «security»; the availability of private damage actions; extraterritorial application of U.S. securities and futures laws; the standards of liability for fraud and manipulation; electronic trading markets; and the scope of fiduciary obligations of brokerage firms and banks.

To make things worse, most of the brokerage firms that understood the toxicity of these CDOs protected themselves by buying «credit default swaps», which were paid off when the loans defaulted.

Traders are advised to only engage the services of brokerage firms registered to operate in the United States in case there is cause for legal recourse among other problems that could occur.

I use multiple brokers: Sharebuilder, Tradeking, MerrilLynch, IB and Scottrade, as I like to spread out the risk of brokerage firms and also, each have their unique pros & cons, too many to list here.

As a result, many mutual funds — which might be better performing but have higher expenses than other investment vehicles — would fall off of brokerage firms» platforms.

Bitcoin futures contracts are available through a number of brokerage firms, the largest and most noteworthy of which is TD Ameritrade.

Her executive career began in the high stakes and male dominated world of Wall Street where she was the CEO of brokerage firm Smith Barney — now Morgan Stanley Wealth Management — the CFO of Citigroup and CEO of Merrill Lynch Wealth Management.

One of my favorite scenes in the 2000 cult classic Boiler Room is when the Ben Affleck character informs a room full of brokerage firm trainees how to behave.

Andy Waldock, owner of the brokerage firm Commodity & Derivative Advisors and the subscription service COTSignals.com, is a third generation commodity trader with over 25 years of experience on all of the main U.S. exchanges.

Tracy has a big personality and looks forward to surpassing clients» expectations of a brokerage firm.

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.

A comprehensive calendar of brokerage firm conferences, analyst events, company conference calls, FDA action dates, and much more.

Tim Morgan, of the brokerage firm Tulett Prebon, wrote the comments in a pamphlet for the Centre for Policy Studies think tank.

When he was in his early twenties, his tendency towards excess, success and prosperity as founder of the brokerage firm Stratton Oakmont meant he was nicknamed «The Wolf of Wall Street».

UPDATE: Legislators also filed their own motion to quash Moreland Commission subpoenas, in which they asserted the investigative panel has probed a coffee shop, the Monroe County Republican Committee and sought tenant information from legislator's real estate enterprise as well as information on the 140,000 clients of a brokerage firm where a legislator works.

The film adaptation of Jordan Belfort's memoir chronicles the rise and fall of his brokerage firm and includes loads of sexual exploits and drug binges along the way.

Investors should also consider other factors, such as stability of the brokerage firm, investment strategy, and access to a live financial advisor, when evaluating a robo - advisor.

Multiple managers assigned to a number of client groups based on the structure of your brokerage firm

With a goal of providing those searching for a home with the highest level of customer service, Veterans United Realty identifies agents from across the country, regardless of brokerage firm, who dedicate themselves to serving those who have served.

Many times the recommendations may not be in your best interest but rather be in the interest of the brokerage firm the broker works for.

On the other hand, if you've bought a call because you really want to own the underlying, you can exercise your right just as the term expires, subject to the exercise cut - off policies of your brokerage firm.

The process of selecting a forex broker should be similar to choosing a bank with which to open an account, with the principles of reputation, integrity and longevity all clear indications of a brokerage firm that can be trusted.

Since intraday trading means securing a trading position within the day, if you look forward to after - hour trades, you should be a client of a brokerage firm that has access to ECNs or Electronic Communication Networks, which are trading platforms that permit after business hours trading in major stock exchanges.

First, fill out the back of the stock certificate with the name of the brokerage firm.

Write the name of the brokerage firm on the line.

He represents the interests of a brokerage firm that represents the interests of those mutual fund companies.

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Gregory Klumov, a managing partner of brokerage firm Exante, which also handles cryptocurrency trades, said to Bloomberg:

Joe Saluzzi, cofounder of brokerage firm Themis Trading, told Business Insider it shows «a lot of people are trying to get in.»

Stockbrokers buy and sell stocks and securities on the stock exchange on behalf of a brokerage firm or broker - dealer in return for fees or commissions.

In a recent case, the principal of a brokerage firm acted for individuals who bought a number of properties and relisted them shortly thereafter at a highly inflated price.

CRES - Tek can create a property Web site, listing proposals, marketing brochures, financial summaries, email fliers and e-cards, customized with the logo and colors of the brokerage firm in charge of the assignment.

In a recent case, the principal of a brokerage firm acted for individuals who bought a number of properties and relisted them shortly thereafter...

The Association and MLS filed a motion to dismiss, arguing that the supervising broker remained the owner of another brokerage firm that was a member of the Association and so the Brokerage was ineligible for non-REALTOR ® participation.

«Ft. Worth is really coming into its own,» says Doug O'Toole, vice president at the Houston office of brokerage firm Marcus & Millichap.

My father and I are co-owners of the brokerage firm.