My ex-husband, a stock broker, was a compulsive gambler who lost a fortune of my inheritance.
FORBES: A Three-Step Plan: Getting Smart (or Smarter) With Money
Historically, investors worked with a traditional stock broker who made commissions on trades when a client bought or sold.
Getting a 401K, you are not a stock broker or financial advisor. so any investment you make will be a looser.
FORBES: Surprise: This Government Retirement Policy Change Worked
After a DePauw degree in 1981, Meeker spent a few years as a stock broker at Merrill Lynch before getting an M.
She has worked as a research analyst, private banker and stock broker, and has a BA in Theatre from the University of Notre Dame.
"I found some books ridiculous, " said a stock broker from Fujian Province, in Eastern China, who stopped in the bookstore while his wife and daughter shopped nearby.
CNN: Hong Kong sellers profit from Beijing's 'forbidden' books
In his political career, the former stock broker served two years on the Fort Thomas city council, four years in the state senate and 12 years in the U.S. House of Representatives.
Also connected to the laptop is an Ardunio-controlled belt that has three separate regions of vibration and a Bluetooth headset of the "obnoxious guy talking loudly to his stock broker on the train" variety.
ENGADGET: NAVI hack uses a Kinect to let the blind see, wear awesome headgear (video)
Using a stock exchange as a metaphor, the simplest way to explain this ecosystem is, websites have unsold inventory they pass to an ad exchange, similar to a stock exchange, and advertisers utilize demand side platforms, similar to a stock broker, to purchase the inventory.
However behind the scenes product peddling financial firms with large salesforces have been lobbying hard to make sure that the fiduciary rule, which would require your stock broker to act your best interest and disclose conflicts, is either watered down or eliminated from the final legislation.
However, if this case is going to send Mandell and Harrington to prison for many years then the government had better start talking about some laws that have been broken rather than a one-time stock broker (Grabowski) who had a change of heart because he no longer believed his own sales pitch.
Jury selection can be a long arduous process of selecting members from a larger pool, questioning of the jurors on their own background (nothing too probing) and whether they think they have any biases that would impact the case (previously being duped by a stock broker might get one out of serving in this trial).
FORBES: Rajaratnam Jury Selection -- This Is Going To Get Complicated
"I'm voting 'No' because Egypt can't be ruled by one faction, " Karim Nahas, a 35-year-old stock market broker voting early on Saturday in Giza, told Reuters news agency.
In more than 60 years as Asia's oldest stock exchange, no broker, trader nor businessman has ever been convicted of stock market fraud.
"Don't just buy a stock because a broker recommended it, " says Walter Carucci, chief executive of Port Washington, New York-based Carr Securities, an over-the-counter marketmaker.
To avoid commissions, consider having your broker transfer stock you already own to your child's account.
With 3.3 million shares of Lehman stock, Fuld is the broker's largest individual shareholder.
The bulls clutch their certificates close to their chests, keeping the shares out of the broker's stock-lending department.
Charles Schwab ( SCHW - news - people ) broker when the stock market crashed in October 1987.
If your broker borrows your stock in a cash (not a margin) account, he has to ask your permission -- and if anything goes wrong and he can't return the borrowed shares, his firm is on the hook to make you whole.
If the stock is not produced, then the shorting transaction will be null and void and the broker will have to purchase the stock, says Jamie Selway, managing director at White Cap Trading.
The creditor says McLaughlin tried to pay off a debt with common stock in his company, even recommending a Boca Raton, Fla. broker, since sanctioned for penny-stock scams, who could supposedly sell the shares on the open market.
FORBES: Sleeping Cops At SEC Give Bio Willie Operator A Pass
For decades, every customer, large or small, had a personal broker providing everything from stock tips to retirement planning.
Martin Weiner of Comstock Partners correctly anticipated that a sagging market would dent enthusiasm for stock trading, as he picked broker Charles Schwab, which fell 57%.
But his broker had sometimes recommended preferred stock, and if my client thought it sounded safe, he would agree to buy it.
The Financial Industry Regulatory Authority, which oversees broker-dealers along with the stock exchanges, sent a warning to member companies last week.
Right now, a taxpayer who tells a broker to sell shares in a stock often doesn't specify which lot to draw from.
These securities trade on U.S. markets and you can buy and sell them directly from your broker as you would any other stock.
If Lewis was one of those, he was perhaps egged on by a hypothetical projection from the broker that assumed Microsoft's stock price would rise 25% a year for the next nine years.
Last month, on the Monday after Bear Stearns' collapse, the SEC proposed a new "naked short-selling anti-fraud rule" that is supposed to rein in manipulative trading by preventing short-sellers from misrepresenting to a broker that they have properly located stock to borrow to sell short.
应用推荐