Sentences with phrase «on behalf of a brokerage firm»

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.

The active Office's Designated REALTOR ® as listed in NRDS for NAR, NAF for CREA, may claim domains on behalf of their brokerage firm.

Not exact matches

If you own HP Co. common shares as of the close of business on the record date for the distribution, Hewlett Packard Enterprise common stock that you are entitled to receive in the distribution will be issued electronically, as of the distribution date, to you in direct registration form or to your bank or brokerage firm on your behalf.

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.

We have represented both investors and brokerage firms in FINRA arbitrations involving allegations of account mismanagement, and we have conducted internal investigations on behalf of boards of directors and committees of independent directors.

Pennsylvania court determines that it lacks jurisdiction over a California brokerage because there was no evidence demonstrating that the firm's salesperson was acting on behalf of the brokerage when he flipped a commercial property in Pennsylvania.

States will require a real estate broker to be employed by the brokerage firm or permit an independent contractor classification, and the broker may work for another broker conducting business on behalf of the sponsoring broker.