Sentence examples for brokerage practice from inspiring English sources

Starting in 1993, he built a thriving brokerage practice at Merrill Lynch -- he was in the top 20percentt of brokers at the firm -- by cultivating a small stable of well-heeled clients in Manhattan.

The proposal seeks, in part, to address criticism by Arthur Levitt, the S.E.C. chairman, of a common brokerage practice known as "internalization," in which firms fill customer orders from their own inventories of stock.

Smooth and socially ambitious, Mr. Bacanovic became a broker at Merrill in 1993 and was an immediate success, tapping into a wide circle of wealthy friends and acquaintances to build a thriving brokerage practice.

When regulators were cracking down on brokerage firms' practice of paying stock analysts for bringing in investment banking deals, a Credit Suisse First Boston executive suggested Mr. Dougan might be helpful, according to an e-mail message regulators gathered in their investigation in 2002.

Congress and the Securities and Exchange Commission have pushed for changes in brokerage firm practices, saying that analysts may have made unreasonably optimistic forecasts to advance their financial interests.

The investigation into the brokerage-firm practice of allocating hot new stocks for commission kickbacks is just one show we look forward to watching.

Our proposal would promote brokerage compensation practices that better align the interests of customers and brokers by enabling brokers to charge fees based on account assets instead of transactions.

The Hartford disclosed in November that it has received subpoenas from the California and Florida attorneys general over its brokerage commission practices.

Now that the bubble has burst, brokerage-firm practices like the ones Mr. Teeples encountered are coming under scrutiny.

The members could then use the fee to buy options trading business from brokerage firms, a practice known as "payment for order flow".

He said that scrutiny of sales practices by brokerage firms would help curtail the practice of parking bonds — when a broker dumps securities that institutions sell into the accounts of unsophisticated individual investors.