"Everyone says we're in the capital markets business, " said Ned Bennett , chief operating officer and co-founder of OptionsXpress, an electronic stock and options brokerage.

FORBES: Magazine Article

"Everyone says we're in the capital markets business, " said Ned Bennett , chief operating officer and co-founder of OptionsXpress (nasdaq: OXPS - news - people ), an electronic stock and options brokerage.

FORBES: A New Kind Of Exchange

While its main business is providing financial information, Brooklyn-based Track Data owns, ironically, a stock brokerage.

FORBES: Tracking Track Data

When an individual investor successfully disputes a stock trade, his brokerage generally will seek compensation from these broker-dealers.

WSJ: Nasdaq CEO Offers Facebook Apology

If one person offers investment advice and buys and sells securities for others, the regulation on that person should not be different depending on whether that person is employed by a bank, a stock brokerage firm, an insurance company or is a self-employed registered investment adviser.

FORBES: Magazine Article

You can avoid loads by using closed-end funds, though you will have to pay regular stock brokerage fees.

FORBES: Fixed Income for Bears

In May 2008, the broker, who worked for one of biggest and most well-known brokerage firms, recommended that my client buy a new issue of preferred stock issued by Fannie Mae.

FORBES: Magazine Article

But in December, Calandra told his company that the San Francisco office of the SEC had asked for records of his stock trades, newsletters and e-mails, prompting Marketwatch to launch its own investigation and ask Calandra for his brokerage records.

FORBES: Magazine Article

These included personal net worth, cash flow and stock option statements, back federal tax returns, W-2s, a company benefits package, various insurance binders, brokerage and 401(k) statements, pension calculations and wills.

FORBES: Bedlam