• Plaintiff attorneys filed 1, 463 cases for securities dealer association arbitration in January and February, up 23% in a year.

    FORBES: Magazine Article

  • In settling its case against Risher, the SEC imposed upon him a Bar from association with any transfer agent, broker, dealer, investment adviser, municipal securities dealer, municipal advisor, or nationally recognized statistical rating organization.

    FORBES: An Ex-Con Con Artist Rips Off $22 Million From Teachers and Retirees

  • Madoff, 70, operated the advisory business separately from his Bernard L. Madoff Investment Securities, a securities broker dealer with its principal office in New York City, the Department of Justice said.

    CNN: Former Nasdaq chairman charged with fraud

  • The company has another possible ace in its pocket: it is one of the few financial firms to act as a primary dealer of Treasury securities.

    FORBES: Countrywide Is On Its Side

  • Jim Dowd, a Managing Director of North Capital Private Securities Corp, a Broker Dealer affiliated with crowdfunding start-up 99funding.com is very focused on the regulatory aspect of this new industry.

    FORBES: Equity Crowdfunding Portals Hit the Desert to Prep for 2013 Launches

  • Jenny Quyen Ta , founder of Titan Securities, a broker-dealer in Dallas, was disciplined in 2010 for alleged misconduct that included using her Twitter account to tout stock in Advanced Micro Devices Inc.

    WSJ: Wall Street Battles States on Social-Media Protections

  • Among the things that they collected was a bunch of balance sheets, income statements, transactions from the dealer market for government securities.

    FORBES: The Early Years

  • Still, at current prices, investing in certain subprime bonds carries "limited downside and possibly substantial upside, " said Joe Walsh, president of Amherst Securities Group, a broker-dealer that focuses on mortgage debt.

    WSJ: Toxic? Says Who? Taste

  • The scheme was carried out in Madoff's investment advisory operation, which occupied office space immediately below the offices of his broker-dealer, Bernard Madoff Investment Securities.

    FORBES: The Madoff Ponzi

  • Steve Brozak is president of WBB Securities, LLC, an independent broker-dealer and investment bank specializing in biotechnology, medical devices and pharmaceutical research.


  • Tipped off by an investor, Arkansas' securities commissioner ordered Howell to stop issuing notes, claiming he was selling securities without being registered as a broker-dealer.

    FORBES: Magazine Article

  • The tool is powered by New York-based SecondMarket, an investment platform that is licensed by the U.S. Financial Industry Regulatory Authority and U.S. Securities and Exchange Commission as a broker-dealer.

    WSJ: Raising Startup Capital From Anywhere, USA

  • Audit Enhancements: A broker-dealer that maintains custody of customer securities and cash would be required to undergo a compliance examination by a Public Company Accounting Oversight Board-registered public accounting firm that would include an audit of the controls the broker-dealer has in place to protect customer assets.

    FORBES: All Talk: The SEC's Broken Broker-Dealer, Investment Advisor Examination Program

  • Auditor Access: A broker-dealer that maintains custody of customer securities and cash or clears transactions would have to allow SEC and SRO examiners to access the work papers of the registered public accounting firm that audits the broker-dealer and discuss any findings with the personnel of the registered public accounting firm.

    FORBES: All Talk: The SEC's Broken Broker-Dealer, Investment Advisor Examination Program

  • Three years later, Mr. Wey, again without admitting nor denying wrongdoing, agreed to be censured by the Oklahoma Department of Securities and to not apply to serve as a broker-dealer or investment adviser in that state.

    WSJ: FBI Search Offices of 'Reverse Merger' Player

  • Dan Mathisson of Credit Suisse Securities, which he describes as the largest U.S. broker-dealer by volume traded, the top broker in algorithmic trading, and the largest U.S. alternative trading system, says the proposal as now creates a dangerous situation because it only applies to trading between 9:45 a.m. and 3:45 p.m.

    FORBES: Broker-Dealers See Holes In SEC Circuit Breakers

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