Double Dipping For brokerage firms, when a broker puts commissioned products into a fee-based account. The broker makes money from both the client and the commission.

双重收费对于证券行而言，一名经纪人将可收取佣金的产品放入可收取费用的户口，因而可从获得双重收入。

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Double dipping for brokerage firms when a broker puts commissioned products into a fee-based account. the broker makes money from both the client and the commission.

双重收费对于证券行而言，一名经纪人将可收取佣金的产品放入可收取费用的户口，因而可从获得双重收入。

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Article 414 a brokerage contract is a contract whereby the broker in its own name engages in trade activities for the truster and the truster pays remuneration therefor.

第四百一十四条行纪合同是行纪人以自己的名义为委托人从事贸易活动，委托人支付报酬的合同。

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In other words, if you had an account at a brokerage and you thought you had a hundred shares of IBM and now the broker is going bankrupt -the broker won't answer your email anymore and he's just gone you go to SIPC and say, I had these hundred shares.

换句话说,如果你在一家经纪公司,设有账户,其中有IBM的100股股份,现在经纪行破产了,经纪行不再回复你的邮件,消失了,你告诉证券投资者保护公司,我有100股IBM的股票

耶鲁公开课 - 金融市场课程节选

The findings of the two studies illustrate the need for older investors to exercise caution when searching for a retirement-focused adviser, and to consider interviewing professionals from at least three different types of firms an RIA, an adviser affiliated with an independent broker-dealer, and perhaps an adviser with a national brokerage firm before selecting one.

WSJ: How a Pick for a Financial Adviser Can Go Wrong

In May 2008, the broker, who worked for one of biggest and most well-known brokerage firms, recommended that my client buy a new issue of preferred stock issued by Fannie Mae.

FORBES: Magazine Article

However, the conflicts are potentially the greatest when the consultant with an affiliated broker-dealer is retained to advise its pension fund client on brokerage issues and is in a position to recommend specific brokerage firms including its own.

FORBES: Consultants With Affiliated Broker-Dealers: How Independent Is Their Advice? (April 1, 1996 )