The combined securities company " is expected to rank among the top 50 broker dealers in the U . S . based upon total regulatory capital,"
42.
Madden, 43, of Manhattan, faces indictments in U . S . District Court in Brooklyn and Manhattan accusing him of making secret deals with broker dealers.
43.
According to news reports, Focus has been one of the leaders in the shift of financial advisors from wirehouse broker dealers to registered investment advisors ( RIAs ).
44.
The New Jersey Bureau of Securities revoked Stratton Oakmont Inc .'s broker dealer license, effectively barring the brokerage from selling stock or soliciting investors in the state.
45.
In addition, investors will be able to use all debt securities, such as corporate bonds, as collateral at banks or broker dealers for loans to buy securities.
46.
CFC also operates broker dealers in Japan and the United Kingdom, an introducing broker dealer of futures contracts, an asset manager and a broker of mortgage servicing rights.
47.
CFC also operates broker dealers in Japan and the United Kingdom, an introducing broker dealer of futures contracts, an asset manager and a broker of mortgage servicing rights.
48.
William Maitland, who joined the U . S . broker dealer unit of Japan's largest brokerage as general counsel in September, will replace Sorkin, Nomura said.
49.
In addition, investors will be able to use all debt securities, such as a corporate bonds, as collateral at banks or broker dealers for loans to buy securities.
50.
Pimco allegedly had shelf-space agreements with more than 50 broker dealers, but the SEC did not charge it for failing to disclose agreements that involved only revenue sharing.
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