• 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

  • 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

  • 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

  • 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.

    FORBES

  • 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

  • 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

  • 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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