Sentences with phrase «of other brokerage firms»

Not exact matches

Business Identity Theft: Immediately following the World Trade Center disaster, hundreds of thousands of confidential papers were strewn about the streets of Manhattan, many from brokerage firms and other places of business that house sensitive information.

«The conclusion about a company's value will be based on an analysis of all kinds of information, such as the historical profit - and - loss picture, other financial records, the customer base, internal controls, key employees, competitive details, and much more,» says Catherine Bienert, CEO of Bottom Line Management, an Atlanta business - brokerage and business - appraisal firm.

If your shares are held in an account at a brokerage firm, bank, broker - dealer, or other similar organization, then you are the «beneficial owner» of shares held in «street name,» and a Notice was forwarded to you by that organization.

If your shares are held in an account at a bank, brokerage firm, broker - dealer or other similar organization, then you are a beneficial owner of shares held in street name.

Stockholders sharing an address whose shares of common stock are held by such entities, who now receive multiple copies of our proxy materials and who wish to receive only one copy of these materials per household, should contact their brokerage firm, bank, or other similar entity to request that only one set of these materials be delivered in the future.

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.

In the spring of 2000, I went into my local brokerage firm and said to these guys: ««Why did I only make 12 percent last year, when other people are making 40 percent.»

You may provide these instructions by voting via the Internet, by telephone, or (if you have requested paper copies of proxy materials through your bank, brokerage firm, or other nominee) by returning a voting instruction form received from that institution.

Most recently, along with PropTiger, property brokerage firm JLL and HDFC Red, realty portal of the housing finance and banking company, were seen as other potential suitors.

Founded in 1946, the firm is a leading provider of investment management, retirement planning, portfolio guidance, brokerage, benefits outsourcing, and many other financial products and services to more than 20 million individuals and institutions, as well as through 5,000 financial intermediary firms.

Brokerage firms and other intermediaries holding shares of our common stock in street name for their customers are generally required to vote such shares in the manner directed by their customers.

If your shares are held by a bank, brokerage firm or other nominee, you are considered the «beneficial owner» of shares held in «street name.»

Securities industry regulations require that brokerage firms inform their clients of their plans to address the possibility of a business disruption that potentially results from power outages, natural disasters, or other events.

If your shares are held in street name, you may vote your shares before the meeting over the internet by following the instructions on the notice of internet availability of proxy materials you received or, if you received a voting instruction form from your brokerage firm, bank, or other similar entity by mail, by completing, signing, and returning the form you received.

Investors have little way of knowing in advance when a sell - side brokerage firm will initiate coverage of a company, however, adding the risk that it may be a long time before other portfolio managers recognise a company and boost its shares.

Before any of you doth protest too much about this conclusion, let me explain the rationale for my inclusion of diversification strategy among the other much better known systemically fraudulent practices regularly engaged in by big commercial brokerage firms and banks.

One advantage of buying from an online brokerage firm is that you can be sure to get some brokers that might sell these treasury online without no commission at all, while on the other hand you could be charged.

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.

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.

Banks, brokerages and other financial services firms typically account for the bulk of new listings in the city, but have only comprised 23 percent of IPOs so far in 2017, weighed down by concerns over rising bad debt in China.

Other big - name attendees included developer William Rudin, Prudential Douglas Elliman CEO Dottie Herman, Cushman & Wakefield Chairman of Global Brokerage Bruce Mosler, Fried Frank law firm partner Jonathan Mechanic, Michael Fascitelli, president and CEO of the Vornado Realty Trust, Newmark Knight Frank CEO Barry Gosin, Peter Riguardi, president of New York operations for Jones Lang LaSalle, and real estate It - Couple Jared Kushner and Ivanka Trump, who recently announced that she is pregnant.

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.

Ally Invest's commission for no - load funds is $ 9.95 (one of the lowest among brokerage firms), but investors would be better off using one of the other deep - discount online brokers — such as E-Trade, Merrill Edge or Interactive Brokers — which offer thousands of funds with no transaction fees.

Your brokerage firm is also responsible for other services, such as account statements, confirmations of your purchases and sales of ProShares, and year - end tax information.

On the other hand, if you're a true couch potato indexer and held a single «go - anywhere» ETF from a firm like iShares or Vanguard (see the upcoming issue of the magazine and its latest ETF All - Stars package), and use a discount brokerage, your total cost for selling everything might be as little as $ 10!

The guarantor could be a commercial bank, credit union, brokerage firm, or other financial institution that is a member of a medallion signature guarantee program approved by the Securities Transfer Association and the SEC.

This is the first of two things that make Loyal3 significantly different from every other brokerage firm out there.

If the property consists of cash or other financial assets (such as stocks and bonds), a common method is to open a custodial account at a financial institution such as a bank, brokerage firm or mutual fund company with a designation something like this:

The person in charge of a brokerage is the principal broker who can hire agents and other brokers to work for the firm.

The broker who leads a brokerage is known as a principal broker or broker of record, and he can employ other brokers or agents at the firm.

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.

Many but not all brokerage firms are also dealers, or broker - dealers, meaning they buy and sell securities from each other and hold some of these securities in inventory.

Another difference between full service brokers and other types of brokers is that full service brokerage firms maintain an inventory of various bonds to offer directly to clients.

You can verify that Covestor is properly regulated by using this tool and you can check the same for the brokerage firms with the use of this other one.

An fyi... some of these rate shopping sites decided it could be lucrative to own a Mortgage Brokerage firm... so they now compare rates of a handful of other Mortgage Brokers AND list their OWN Mortgage Brokerage firm's rates... Can they truly remain unbiased?

Also know that plenty of other online brokerage firms offer access to low - cost index funds that can take the headache out of your investment strategy.

Investment in the Money Market fund is covered by the Securities Investor Protection Corporation (SIPC), which protects customers of member firms when their stocks, money or other securities are stolen or put into jeopardy by the brokerage.

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.

Unlike every other Canadian discount brokerage (and even many financial services firms) on Twitter, TD Direct Investing undertook the bold move to allow multiple representatives the freedom to tweet instead of having just one solitary voice.

MLPs on brokerage firm Stifel's buy list include Green Plains Partners (GPP, $ 18, 11.0 %), which owns and operates storage tanks, terminals and other facilities for Green Plains Inc., the world's second - largest owner of ethanol production plants.

«please note that if you can provide us with a current statement from your other brokerage firm indicating you have accumulated the number of trades needed to qualify for the active investor rates, we will code your accounts to have the lower commission rates immediately.»

Currently, many brokerage firms and others providing retirement investment advice outside of a fiduciary standard are structured to maximize the sale of investment «products» and maximize profits, regardless of the implications for their clients.

Tens of thousands of clients have switched over to firms like ours from brokerage firms and others.

To get started, enter the amounts below based on both your accounts at Bank of America and Merrill Edge, and accounts at other banks and brokerage firms, to help determine your potential Preferred Rewards program eligibility.

Account closure fee: $ 30 to wire funds out of your account (plus some other normal account fees you'll see at every discount brokerage firm)

If, on the other hand you're just looking for a few fund recommendations or want to get a ballpark estimate of how much you should be saving for retirement, then a broker with an established, reputable investment firm or a representative with a mutual fund firm or discount brokerage that has a good roster of online tools and calculators for selecting investments and building a portfolio may be able to satisfy your needs.

The trading costs are incredibly low in comparison to other discount brokerage firms just because of the large number of companies you can invest in with just one trade commission paid to the company.

He took down disgraced Ontario lawyer Simon Rosenfeld and others for drug cartel money laundering, including Mark Valentine of the now - defunct Toronto - based brokerage firm Thomson Kernaghan & Co. Ltd...

Any closely held small business, like a real estate brokerage, small law firm, or other small service business, whether recently created or well established, should have a specified business continuation strategy to financially accommodate the chance of a proprietor or partner dying, entering retirement, or becoming disabled.

We are unaware of any similar policies at other brokerage firms.»