The broker, Research Capital of Toronto, says it tried to buy shares of Overstock to satisfy customer orders but has never received the actual shares it bought, even after 39 attempts to force the brokers who sold it the stock to produce the shares.

FORBES: Naked Fines

Smaller markets aren't always covered by the financial press and if you ask your broker for some research on Kazakhstan you might get a blank stare.

FORBES: Magazine Article

She has worked as a research analyst, private banker and stock broker, and has a BA in Theatre from the University of Notre Dame.

FORBES: Lara Hoffmans - Archive

"It's not easy for a young compliance officer to take on a star broker or banker, " says Robert Iati, a research director at TowerGroup, a technology research firm.

FORBES: Magazine Article

Prior to that, as partner at Moss Adams, I led market research and worked with hundreds of advisors and leading broker-dealers.

FORBES: The Toughest Rule To Follow

"The market saw gold going lower, and everyone panicked, " said Pradeep Unni, head of research at Richcomm Global Services, a Dubai-based commodity broker.

WSJ: Gold Plummets to Two-Year Low

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

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In this scenario, there are no direct broker fees or commissions paid but the inherent conflict of interest is self-serving when offering research and recommendations on proprietary and non-proprietary funds where indirect and undisclosed revenue can be captured.

FORBES: Another Perspective on the Shifting 401(k) Landscape: David Witz of Fiduciary Risk Assessment LLC (March 20,2008)

Stricter regulation after the Wall Street research scandal has made it more difficult for brokerages to distribute their homemade investment products through their own broker sales forces.

FORBES: Comerica Streamlines