• 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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