Plaintiff attorneys filed 1, 463 cases for securities dealer association arbitration in January and February, up 23% in a year.

FORBES: Magazine Article

Jenny Quyen Ta , founder of Titan Securities, a broker-dealer in Dallas, was disciplined in 2010 for alleged misconduct that included using her Twitter account to tout stock in Advanced Micro Devices Inc.

WSJ: Wall Street Battles States on Social-Media Protections

Madoff, 70, operated the advisory business separately from his Bernard L. Madoff Investment Securities, a securities broker dealer with its principal office in New York City, the Department of Justice said.

CNN: Former Nasdaq chairman charged with fraud

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.

WSJ: FBI Search Offices of 'Reverse Merger' Player

The company has another possible ace in its pocket: it is one of the few financial firms to act as a primary dealer of Treasury securities.

FORBES: Countrywide Is On Its Side

Since then, the ICBC broker-dealer in the U.S. has focused on clearing trades of Treasury bonds and other types of fixed-income securities for clients.

WSJ: Bank of China Eyes Expansion Into U.S. Securitization