Additionally, members of bank holding companies that have broker dealers cannot serve as so-called public representatives.
This can usually be handled through your broker, and the paperwork will take a few weeks to process.
According to Faneuil, the broker spoke of his relationship with Stewart, emphasizing their intense loyalty to each other.
The original complaint against the broker includes a felony charge for causing serious bodily injury.
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In this contest the electronic broker is inherently a leaner player than the glad-handing banker.
Every broker, financial advisor and insurance agent wants a piece of the doctor market.
Stanley ( SXE - news - people ) branch for more broker meetings.
Banks were the day's big gainers, with RBS up 4.5% after a broker upgrade.
My ex-husband, a stock broker, was a compulsive gambler who lost a fortune of my inheritance.
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Shares of the major broker dealers have swooned since the collapse of Bear Stearns last month.
"She's my virtual wingman, " says Mr. Hendelman, a junior equity-derivatives broker in New York.
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He isn't a registered securities broker in Arizona or with the National Association of Securities Dealers.
One caveat: The average investor likely pays a stiff cost beyond the broker's commission.
James Kinney, a Chicago broker, has even hired staff to find empty-nesters sitting on big gains.
The highest-ranked newcomer via growth to this year's list is ICAP, the world's largest interdealer broker.
Frank Lesh, futures broker at FuturePath Trading, said market activity could be volatile next week.
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To make matters worse, you can't unload CNL shares with a phone call to your broker.
Quick, get on Skype and ask your broker to try and reserve you some Facebook shares.
The broker released a different view on U.S. GDP in 2012 compared with its rivals.
But the federation has subsequently failed to broker a deal on further disciplinary measures.
"People now want local news, " says Edward Anderson, a broker partner with National Media Associates.
Once the customer pays back the loan, the pawn broker ships the item back.
Or, if you insist, he will also call the broker, the insurance agent, etc.
And it reigns as a leading "prime broker, " handling trades for these funds and for itself.
Mr Obama has asked Vice-President Joe Biden to broker an agreement between the two sides.
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Here are my suggestions for how to prepare to be a savvy service broker.
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Mike DeWine faces Democrat Ted Celeste, a real estate broker from a strong political family.
Some of these firms audited only one broker-dealer, while others audited over 150 broker-dealers.
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The broker-dealers that were inspected by the PCAOB were not judged by any new rules.
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The industry continues to argue over which is better, RIA or registered rep (broker).
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