Stock was actually sold shortly after Anschutz transferred it to a securities firm.
Lazard is one of the most talked-about initial public offerings of the year and the second largest for a securities firm since Goldman's own IPO in 1999.
Foreign securities are another option, but investors can buy them only through a securities firm, and the Foreign Exchange and Foreign Trade Control Act still puts obstacles in their way.
Some economists argue plausibly that signs of slowing consumer spending are already apparent: Simon Briscoe, an economist at Nikko Europe, a securities firm, points out that a whole host of economic variables, from car registrations to retail sales, are weaker than they were six months ago.
As for Timor quality, Cholid, a driver whose wife works for a Jakarta securities firm, says he won't be swapping his Toyota for a Timor.
The bubble popped when Nomura, which was then a powerful securities firm, decided that it should.
Goldman Sachs is a global investment banking and securities firm, providing a full range of investing, advisory and financing services worldwide to a substantial and diversified client base, which includes corporations, financial institutions, governments, and high net worth individuals.
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According to the complaint filed with the U.S. District Court of Southern New York, two senior employees of the securities broker firm told investigators that Madoff ran the advisory business from a separate floor of the securities firm offices.
He invested in a cellular-tower company in Nigeria and stocks in the Harare bourse through Imara Securities, a Botswana firm he owns a piece of, but he avoids South Africa in part because of the laws requiring local partners.
Goldman Sachs is a leading global investment banking, securities and investment management firm that provides a wide range of financial services to a substantial and diversified client base that includes corporations, financial institutions, governments and high-net-worth individuals.
But they are insured in the unlikely event that securities held by a brokerage firm are lost or stolen.
"A CD that is tied to the market is an absolutely fantastic idea, " says Robert Gordon of Twenty-First Securities, a New York firm that advises wealthy families and executives on investment and tax strategy.
The CFTC said Wednesday that the New York firm, a securities broker, commodities trader and provider of risk-management services, failed to put in place adequate risk policies and controls in 2008 and early 2009, a period that included the depths of the financial crisis.
Upending a closely watched ritual in place since 1996, the New York securities firm told employees Thursday it now plans to promote a new crop of managing directors every two years, instead of each year.
James Gorman appears to be too focused on remaking the securities firm than proselytizing for a whole industry or value set.
For example, the primary method that investment advisors place trades at one major securities brokerage firm is via a Java application.
Venture Economics Information Services, a research firm owned by Thomson Financial Securities Data and based in Newark, Ner Jersey, did the calculations for us.
"A lot of large institutions are selling European sovereign debt and the corresponding CDSs because they don't feel like they have adequate insurance, " says Mark Grant, of Southwest Securities, a Texas-based investment firm.
The custodians are all regulated by the SEC and FINRA, audited by a nationally recognized accounting firm, and each account is protected for loss of securities by a combination of SIPC insurance and commercial excess Securities Investor Protection Corporation (SIPC).
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He became a securities analyst in 1970 and started his own firm in 1982.
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Evans began his career as a securities analyst and trader before starting a brokerage firm in 1980.
Lending Club was founded by Renaud Laplanche, a French native who worked as a New York securities lawyer before launching database search firm MatchPoint.
And banks themselves are exposed: paper issued by the mortgage agencies accounts for roughly half of their total securities portfolios, estimates CreditSights, a research firm.
Every single financial services firm has a huge portfolio of securities that must be closely observed and analyzed in as close to real time as possible.
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The firm filed a prospectus with the Securities and Exchange Commission (SEC) to offer their Total Return mutual fund as an Exchange Traded Fund (ETF).
The case stems from Securities America, a Nebraska-based brokerage firm with 1, 800 financial advisors who sold private placements deals related to Medical Capital and Provident Shale Royalties-those companies were accused of fraud by the SEC in 2009.
Until recently very little of the revenue from stock lending has found its way into the pockets of retail investors, says Joshua Galper, managing principal of Vodia Group, a New York City consulting firm that analyzes securities lending.
Madoff founded his securities firm in 1960 and expanded to a worldwide client base.
Caroline Turner , author of Difference Works: Improving Retention, Productivity and Profitability through Inclusion , began her career as a successful lawyer in a private practice, becoming partner in a large regional firm in the demanding area of securities law and mergers and acquisitions.
Yet securities research firm Macquarie Capital estimates there is a shortage of pressure-pumping services.
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