- n a financial specialist who trades for his own account and so acts both as a broker and principal
- But there was one smaller broker-dealer that bucked the trend and actually saw its stock price rise for the day: Jefferies Group, a firm run by a former Drexel Burnham Lambert hand .
- To Congress last week SEC also sent its long-awaited, highly-involved study of the broker-dealer, plumping for segregation of the two functions.
- Soon to be broached to the Exchange, therefore, are: 1) a depository for customers' funds now kept helter-skelter in brokerage houses; 2) a trial segregation of broker-dealer .
- Andrew Cuomo in Reuters
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.
- William Galvin in Reuters
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.
- Sarah Steelman in Globes
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...