- Savory Choices: Brokerage Stocks May Roar Back. iddleton, Timothy // On Wall Street;Jan1999, Vol. 9 Issue 1, p30
Focuses on the optimism of analysts on brokerage stocks in the United States and on the business prospects for 1999. Performance of the industry in 1998; Retail-oriented regional brokers; Comments from Michael Flanagan, an analyst at Financial Service Analytics in Philadelphia, Pennsylvania;...
- Double Trade Trouble: What everyone refers to as an unauthorized trade may or may not be what it seems. Eccleston, James // On Wall Street;Aug2001, Vol. 11 Issue 8, pN.PAG
Focuses on unauthorized trading of stocks and its implications on stockbrokers. Description of unauthorized trading and exercise of discretion without written authority on file; Sanction Guidelines under the National Association of Securities Dealers Regulation; Categories of egregious behavior.
- Transactional Brokers Take It On The Chin. Jamieson, Dan // On Wall Street;Aug2002, Vol. 12 Issue 8, p15
Focuses on the performance of transactional business of stocks in 2000. Performance of fee-based business; Decline in the commission revenues of brokerage firms.
- Patriot Act Onus Falls on Brokers. Jamieson, Dan // On Wall Street;Aug2002, Vol. 12 Issue 8, p20
Focuses on several customer screening requirements to be faced by brokers and brokerage firms mandated by the U.S. Patriot Act. Obligation of brokerage firms to report about suspicious transactions crossing a particular limit; Comments from several brokers related to the requirements of the...
- Finally, a Bottom? Quickel, Stephen // On Wall Street;Aug2002, Vol. 12 Issue 8, p66
Focuses on the performance of stocks in the brokerage market of the United States. Forecasts related to the performance of stocks prices for 2002; Drawbacks in the economy of the U.S.; Estimated earnings from the stocks.
- A Long,Tough Road. Tice, David W. // On Wall Street;Aug2002, Vol. 12 Issue 8, p67
Discusses several issues related to stock prices in the brokerage market of the U.S. Comparative study of the performance of stocks and bonds; Financial performance of several brokerage firms of the U.S.; Issues related to returns from the stocks for any company.
- Solicited or Unsolicited? Eccleston, James // On Wall Street;Aug2002, Vol. 12 Issue 8, p71
Examines the specifics of difference between solicited and unsolicited recommendations in the stocks trading. Two ways of interactions between representative and customer; Broad range of circumstances causing a transaction to be considered recommended; Concerns of the New York Stock Exchange...
- Caution urged with Internet stock tips. Rademacher, Kevin // Inside Tucson Business;01/11/99, Vol. 8 Issue 42, p21
Reports that government agencies and Arizona-based stockbrokers are cautioning against surfing the World Wide Web in search of investment tips. Internet's development as a convenient and booming distribution channel for stock fraud; Disadvantages of using the Internet for stock tips; Sampling...
- Who's hot, who's not. // Investment Dealers' Digest;10/20/97, Vol. 63 Issue 42, p18
Presents a chart and a graph showing the stock performance of brokerage firms in the United States as of October 15, 1997. Ticker symbol; Includes GKN Holding Corp.; Scott Stringfellow Financial; Olympic Cascade Financial Corp.
- Brokerage stocks ranked by performance. // Investment Dealers' Digest;03/08/99, Vol. 65 Issue 10, p16
Presents information on United States-based brokerage stocks' performance as of March 8, 1999. Includes names of companies; Year-to-date change.