securities-industry

Brokerage firms win a high percentage of these cases, though they sometimes agree to be repaid over time or for just a portion of what they are owed, according to securities-industry lawyers.

Signing Bonuses Haunt Wall Street Aaron Lucchetti 2010

After the meeting, the securities-industry group asked executives at several brokerage firms to call congressmen leaning against a debt deal.

How White House Wooed Wall Street in Debt Debate Aaron Lucchetti 2011

So far, Mr. Madoff's customers have received 6.5% of their principal back between distributions by trustee Irving Picard and the Securities Investor Protection Corp., a securities-industry group that provides insurance for bankrupt firms.

Wanted to Buy: MF Global Claims Dan Strumpf 2012

Making It Public The Financial Industry Regulatory Authority, Wall Street's self-policing organization, has been broadening the scope of information about securities-industry professionals available to investors through its free BrokerCheck service at www.finra.org/brokercheck .

Digging Up Dirt. And Deciphering It. Suzanne Barlyn 2011

A realization is sinking in among securities-industry executives that because of the huge potential losses they are exposed to in bear markets, the business just isn't as attractive as it once seemed.

Bank Cuts Reflect New, Leaner Era Dana Cimilluca 2012

Expanding disclosures, however, could raise privacy issues for brokers, says Raymond Moss , a lawyer for Sims Moss Kline & Davis LLP in Atlanta who specializes in securities-industry regulation.

SEC Calls for Easier Investor Access to Disclosure Systems Suzanne Barlyn 2011

New York City's financial plan forecasted $20 billion in securities-industry profits for 2011.

Wall Street Job Losses Are Seen Hitting 10,000 Andrew Grossman 2011

The potential transaction underscores the ambitions of Jefferies to grow from a securities-industry boutique focused on stock trading into a full-service investment bank that helps clients raise money and trade stocks, bonds and derivatives, where investors and big industry players transfer the risks of future price movements.

Jefferies Closes In on Deal for Prudential's Bache Unit Aaron Lucchetti 2011

In addition, the two managers of the Bear funds whose collapse in 2007 marked a prelude to the broader financial crisis also agreed to securities-industry bans.

Ex-Bear Hedge-Fund Managers Settle SEC Charges Jean Eaglesham 2012

New York City's financial plan forecasted $20 billion in securities-industry profits for 2011.

Wall Street Shrinkage Andrew Grossman 2011