Psst... Independents Still Make Calls
- Indies Now Host 'Concierge' Meetings. Hahn, Avital Louria // Investment Dealers' Digest;9/20/2004, Vol. 70 Issue 36, p7
Reports on the initiation of meeting for trading by independent research providers Independent Research Group and Soleil Securities Group Inc. Concept of the meetings; Participation of investors and executives in the discussion; Significance of the meetings to big investment banks.
- A New Research Model Offered by Trading Vets. Bresiger, Gregory // Traders Magazine;Jan2003, Vol. 16 Issue 206, p22
Reports on the offer of Soleil Securities Group Inc. to provide research and trading services to institutional investors. Effort capitalizing on demand for independent stock watch; Soleil co-founder Andrew Klein's description of the research model.
- NASD Seeks Comment on Possible Fairness Opinion Rule. // ComplyNet;Nov2004, pN.PAG
Announces that the National Association of Securities Dealers is requesting public comment on a possible new rule establishing procedures and certain disclosure requirements to address potential conflicts of interest when its regulated firms provide fairness opinions in connection with corporate...
- CastleOak Securities Inks First Deal. O'Connor, Colleen Marie // Investment Dealers' Digest;8/7/2006, Vol. 72 Issue 31, p12
The article reports on the first deal by CastleOak Securities with General Electric Capital Corp. of $300 million floating-rate bond. The CastleOak Securities is a minority owned business founded by David Jones, the newest investment bank in Wall Street having a substantial equity investment...
- Citi bounces back. Elstein, Aaron // Crain's New York Business;10/10/2005, Vol. 21 Issue 41, p3
This article presents information on Citigroup Inc. in the U.S. Citi's investment banking arm, which accounts for roughly a quarter of its parent's earnings, raking in $3.1 billion on net revenues of $11.2 billion in the first half of the year alone. An also-ran in many of Wall Street's most...
- Plain Talk. Cooper, Evan // On Wall Street;Dec2003, Vol. 13 Issue 12, p16
Presents an article on the state of the securities industry in the U.S. as of December 2003. Information on the Securities Industry Association annual meeting held in Boca Raton, Florida; Participants in the nation's securities markets; Description of the industry.
- As European Banks Flail, Americans See an Opening. Dumiak, Michael // U.S. Banker;Feb2005, Vol. 115 Issue 2, p12
Reports on the conditions of the investment banking business in the U.S. Factors that contributed to European bank failures; Effect of the bank failures on American financial institutions; Operating losses of Commerzbank AG.
- A battle joined. Garrity, Brian // Investment Dealers' Digest;02/22/99, Vol. 65 Issue 8, p14
Examines the state of the leveraged finance sector as commercial and investment banks compete for any edge in underwriting and merger-and-acquisition mandates. Urgency in the struggle between investment and commercial banks; Performance of the leveraged loan market in 1998; Factors driving...
- SOLEIL'S BIG BET 'ON THE COME'. Hahn, Avital Louria; Lugo, Denise // Investment Dealers' Digest;5/26/2003, Vol. 69 Issue 21, p4
Presents information about developments related to investment banking around the world as of May 26, 2003. Reorganization of Soleil Securities Group Inc.; Integration of debt and equity capital market groups by Lehman Brothers Inc.; Plan of UBS Warburg Japan's president Mark Chiba to resign...