• The tool is powered by New York-based SecondMarket, an investment platform that is licensed by the U.S. Financial Industry Regulatory Authority and U.S. Securities and Exchange Commission as a broker-dealer.

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  • Steve Brozak is president of WBB Securities, LLC, an independent broker-dealer and investment bank specializing in biotechnology, medical devices and pharmaceutical research.

    FORBES

  • Three years later, Mr. Wey, again without admitting nor denying wrongdoing, agreed to be censured by the Oklahoma Department of Securities and to not apply to serve as a broker-dealer or investment adviser in that state.

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  • Still, at current prices, investing in certain subprime bonds carries "limited downside and possibly substantial upside, " said Joe Walsh, president of Amherst Securities Group, a broker-dealer that focuses on mortgage debt.

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