So you must call your bank, mutual fund, brokerage house or credit union and ask.
My backup is the home mortgage market activity as well as brokerage house earnings powered by cost-cutting.
They would go a long way to protect retirement and brokerage house investors from getting ripped off.
FORBES: The 'Other' Fiscal Cliff: Unfinished Financial Reforms
Bank and brokerage house earnings will decline for at least two quarters, by as much as 40%.
Want to know how little I understood what I was doing, having just matriculated from the brokerage house training program?
It was the customer who originated the idea about the Main Street issue, having picked up the name from another brokerage house.
FORBES: Taped Phone Conversations Discredit Customer And Exonerate Stockbroker
The brokerage house recorded a wider than expected loss for the second quarter and announced asset sales to shore up its capital base.
The six-month program included a three-month internship at the brokerage house Salomon Smith Barney, where he got plenty of experience in building out networks.
No bank or brokerage house, no business-news organization and no government agency comprehensively follows People's Republic of China, or PRC, penetration of U.S. capital markets.
Chris Mayer, Bruce Robertson, Dave Gonigam and I are being hosted this week by el presidente of Interbolsa, the largest brokerage house in Colombia.
According to a report published by the London Times on Monday, the brokerage house is preparing a plan to split the firm in two with its third-quarter earnings.
Such an episode would take down not only the traders, but likely the brokerage house that gives them access to electronic markets and perhaps even other clients of that brokerage.
FORBES: Knight Capital's Algorithmic Fiasco Won't Be The Last of its Kind
If you work with independent investors or brokers, your investments are housed at a large brokerage house where you should be able to verify your investment holdings independently of statements your advisor issues to you.
It is demonstrably false to allege that the customer was induced to sell some of his holdings in favor of a new issue based on assurances of quality from the employee of the brokerage house.
FORBES: Taped Phone Conversations Discredit Customer And Exonerate Stockbroker
You'd think determining the basis of a security would be easy, and in fact, in the majority of cases where a customer buys and sells stocks and mutual funds within one account at one brokerage house, it would be.
Lehman Brothers Holdings (nyse: LEH - news - people ) -- or acquire the firm outright -- faded after South Korea's financial regulator said on Monday that the state-owned bank should be cautious over any investment in the brokerage house.
Hopes that the Korea Development Bank would provide a cash infusion to Lehman Brothers Holdings -- or acquire the firm outright -- faded after South Korea's financial regulator said on Monday that the state-owned bank should be cautious over any investment in the brokerage house.
Thain, former leader of the New York Stock Exchange, took the reins at Merrill Lynch after the beleaguered brokerage house kicked out Stanley O'Neal. (See: "No Thain, No Gain") Since taking charge four months ago Thain's promise has been simple: clean the current mess, and then make Merrill more profitable.
By some estimates there are now 200, 000 financial planners in the U.S. Their training ranges from none at all to courses and a series of exams given by the College for Financial Planning in Denver or a few months at a brokerage house, such as Hutton, to schooling leading to CPA, J.
Brokerage-house management encourages them to seek high visibility because that's good for business.
The brokerage firm reserved a hearing room in a House office building for briefings by several lawmakers and aides.
This year, with help from fund data house Lipper, we have added in brokerage commissions paid by the portfolio manager.
Since reaching critical mass was impossible through in-house marketing, DBC reached out to brokerage giant, Merrill Lynch, for distribution.
Even Panglossian brokerage houses have warned that if a recession occurs, house prices could tumble 10% this year and the stock market could decline by 30%.
We gave special honors to Philweb of the Philippines (top profitability, based on operating income as a share of sales), to Royal Ceramics Lanka of Sri Lanka (return on investment, a near quintupling) and to E-House (China), the real-estate brokerage, for overall best composite score.
In the past, the argument has been that in-house ownership of both a mutual fund group and a retail brokerage could increase revenues through cross selling.
His top line includes the value of the parts, his brokerage fees and any additional consulting charges for determining which parts should be made in-house and which should be outsourced.
Terri McCullough, a 41-year-old aide to House Speaker Nancy Pelosi, had several successful trades in 2008 in a Charles Schwab brokerage account with her husband, Howard Wolfson, a former spokesman for Hillary Clinton's 2008 presidential campaign.
In America, where commercial bankers still face restrictions when it comes to selling shares and insurance, Sanford Weill, the boss of Travelers Group, has moulded Smith Barney, a brokerage, and Travelers, an insurer, into a huge stocks-funds-and-insurance house.
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