broker-dealer broker-dealer


  • (n) a financial specialist who trades for his own account and so acts both as a broker and principal


  • They revoked the broker-dealer registrations of the firm, Villa and four of his associates.


  1. KBW Announces Quarterly Index Rebalancing and Constituent Changes

    Keefe, Bruyette & Woods, Inc., a full-service, boutique investment bank and broker-dealer that specializes in the financial services sector, and a wholly owned subsidiary of Stifel Financial Corp.
    on June 15, 2013     Source: Business Wire via Yahoo! Finance

  2. Fla.-Based Broker-Dealer Arrested in NY Bribe Case

    Feds: Fla. broker-dealer arrested in $5M NY bribery case involving Venezuelan banking official        
    on June 13, 2013     Source: ABC News

  3. FL-based broker-dealer arrested in NY bribe case

    The Miami branch manager of a New York broker-dealer has been arrested on charges related to an international bribery scam being prosecuted in New York.
    on June 13, 2013     Source: WFLX FOX 29


  1. "An unlicensed intermediary working with a broker-dealer partnered with the chief political operative at the comptroller's office in New York to split profits from corrupt pension fund deals," Cuomo said in a statement.
    on May 12, 2009 By: Andrew Cuomo Source: Reuters

  2. "Returning funds to aggrieved investors was a top priority in bringing this action for unlawful conduct against the broker-dealer, which has a significant presence in the Commonwealth," Galvin said in a statement.
    on Jul 9, 2007 By: William Galvin Source: Reuters

  3. Missouri State Treasurer Sarah Steelman said, "I made the decision to divest after learning that the State of Missouri was doing business with BNP Paribas which lent $1 billion dollars to Iran. We kicked them off our broker-dealer list and put in...
    on Sep 24, 2007 By: Sarah Steelman Source: Globes

Word of the Day
cynic cynic
/ˈsɪ nɪk /