brokerage-firm

FactSet reported on Friday that brokerage-firm analysts haven't begun making broad cuts to second-quarter corporate-earnings forecasts.

Stocks Swoon, Worry Rises E.S. Browning 2011

Still, brokerage-firm executives say this new and largely untested approach to variable annuities runs the risk of turning off some advisers who previously were big advocates of the pricey products.

Restyled Annuities Offer Fewer Choices Leslie Scism 2011

Roosevelt Investment Group Inc., a New York money manager, has a strategy that it says some brokerage-firm gatekeepers find appealing: The Roosevelt Multi-Cap fund can invest in stocks of all sizes and types, and also uses ETFs, cash and precious metals to mitigate its risk.

The Keys to Brokers' Lists Jaime Levy Pessin 2012

FactSet reported on Friday that brokerage-firm analysts haven't begun making broad cuts to second-quarter corporate-earnings forecasts.

Stocks Swoon, Worry Rises E.S. Browning 2011

The big blow to their confidence was the 2008 collapse of brokerage-firm Lehman Brothers, in which they lost $75,000 on a Lehman bond.

Small Investors Flee Stocks, Changing Market Dynamics 2010

U.S. prosecutors were chided by a federal judge on Thursday for withholding information from six former Wall Street brokers and traders who were convicted last year in a scheme to misuse brokerage-firm "squawk" boxes.

Judge Faults Prosecutors in 'Squawk Box' Case Amir Efrati 2010

Mr. Kedrosky was once a brokerage-firm analyst but now is a senior fellow at the Kauffman Foundation, where he studies entrepreneurship, innovat ion and the future of risk capital.

A Doomsayer Invests as if the End Is Nigh 2010

U.S. prosecutors were chided by a federal judge on Thursday for withholding information from six former Wall Street brokers and traders who were convicted last year in a scheme to misuse brokerage-firm "squawk" boxes.

Judge Faults Prosecutors in 'Squawk Box' Case Amir Efrati 2010

U.S. prosecutors were chided by a federal judge on Thursday for withholding information from six former Wall Street brokers and traders who were convicted last year in a scheme to misuse brokerage-firm "squawk" boxes.

Judge Faults Prosecutors in 'Squawk Box' Case Amir Efrati 2010

Messrs. French and Schaufele aided the Wylys in the alleged scheme by telling lawyers for the companies and brokerage-firm superiors that the trusts were independent, the SEC said.

Wyly Brothers Face SEC Fraud Charges 2010