broker-dealer

The company applied in January to the SEC to register as a broker-dealer, which is a firm that trades securities.

Guidance Is Sought on Private Trading of Closely Held Companies Jean Eaglesham 2011

Last month, Mizuho's U.S. broker-dealer announced it hired seven sales and trading executives, four for fixed income and three for futures.

Mizuho Continues U.S. Expansion With Equities Research Desk Liz Moyer 2010

The dispute stems from Lehman's suit last year against Barclays accusing the British bank of negotiating a discount not adequately disclosed to the bankruptcy court when it bought Lehman's broker-dealer unit in 2008; Judge Peck earlier this year ruled in favor of Barclays.

Lehman-Barclays In 'Bonus' Fight Joseph Checkler 2011

"The belief is, it ain't gonna last," said David Ader , head of government-bond strategy at CRT Capital Group LLC, a broker-dealer in Stamford, Conn.

U.S. Treasury Buyers Flip the Script Matt Phillips 2011

The SEC said in June that it disagrees with SIPC's stance and authorized the lawsuit if SIPC didn't begin a liquidation of Stanford Group, a U.S.-based broker-dealer through which Mr. Stanford sold the certificates to American investors.

Judge Hands SEC Initial Victory in Suit Against Insurance Fund Andrew Ackerman 2012

A long dispute could accelerate cord-cutting because many shows are available free online, said Rich Greenfield, a media analyst for New York broker-dealer BTIG.

News Corp., Cablevision Dig in Heels in Fee Fight Sam Schechner 2010

In an SEC case against broker-dealer Morgan Keegan & Co., regulators allege that a subprime fund manager there manipulated the prices of bond funds that were having losses.

Mutual Funds' Muni-Debt Prices Are Questioned Jean Eaglesham 2011

NEW YORK — Mizuho Financial Group Inc. 's U.S. broker-dealer division has opened an equity research desk initially focused on energy, technology and life sciences.

Mizuho Continues U.S. Expansion With Equities Research Desk Liz Moyer 2010

"The clarification appeared to be S&P saying 'never mind' and 'we'll resume rating new CMBS deals,' " said Darrell Wheeler , head of CMBS strategy at Amherst Securities Group, a New York-based broker-dealer.

S&P Resumes Rating New CMBS Al Yoon 2011

David Freniere, deputy general counsel at independent broker-dealer LPL Financial Corp., which is also participating in the pilot program, said the pilot program has worked well.

'Public' Arbitration? Brokers Balk Daisy Maxey 2010