Broker-dealer


Recent Highlights

  • Look into potential mergers and possible sources of additional capital as a ... Las Vegas' First Asian Bank seeks possible mergers, additional capital First Asian Bank, the first bank in Las Vegas to focus on serving businesspeople of Asian descent, on Wednesday said it hired a broker-dealer to look into potential mergers and ... ReviewJournal.com - Business - 1 week ago  
  • Go bankrupt in history," said Mark Shapiro, who worked on the.. Lehman '08 sale called 'best deal' Lehman Brothers made "the best deal it could" when it sold its brokerage to Barclays in "one of the most uncertain weeks in financial-market history," a former Lehman restructuring executive ... NY Post: Business - 1 week, 3 days ago  
  • KGS-Alpha Capital Markets LP, as buyout managers take advantage of turmoil in ... Arsenal Invests in KGS as Private Equity Backs Broker-Dealers Private-equity firm Arsenal Capital Partners LP is backing a pair of former Citigroup Inc. executives in a new fixed-income broker-dealer called KGS-Alpha Capital Markets LP, as buyout managers take advantage ... BusinessWeek.com -- Top News - 2 weeks, 1 day ago  
  • KGS-Alpha Capital Markets LP, as buyout firms take advantage of turmoil in ... Arsenal Invests in KGS as Private Equity Backs Broker-Dealers Private-equity firm Arsenal Capital Partners LP is backing a pair of former Citigroup Inc. executives in a new fixed-income broker-dealer called KGS-Alpha Capital Markets LP, as buyout firms take advantage ... BusinessWeek.com -- Top News - 2 weeks, 1 day ago  

Latest Articles

1 day, 7 hours ago

Aquiline Leads $225 Million Deal For Broker-Dealer CRT spacer

Aquiline Leads $225 Million Deal For Broker-Dealer CRT FOXBusiness.com : Markets - 2:49 p.m. Wednesday 1st September 2010 PDT View Article Related Articles Email to Friend

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1 week ago

Las Vegas' First Asian Bank seeks possible mergers, additional capital spacer

First Asian Bank, the first bank in Las Vegas to focus on serving businesspeople of Asian descent, on Wednesday said it hired a broker-dealer to look into potential mergers and ... ReviewJournal.com - Business - 2:02 a.m. Thursday 26th August 2010 PDT View Article Related Articles Email to Friend

1 week, 1 day ago

Zions subsidiary fined for securities violations spacer

Zions subsidiary fined for securities violations By paul beebe The Salt Lake Tribune Updated Aug 25, 2010 07:22PM MDT Zions Direct, the broker-dealer subsidiary of Zions Bank, has been fined ... sltrib.com : Business News - 5:43 p.m. Wednesday 25th August 2010 PDT View Article Related Articles Email to Friend

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1 week, 3 days ago

Lehman '08 sale called 'best deal' spacer

Lehman Brothers made "the best deal it could" when it sold its brokerage to Barclays in "one of the most uncertain weeks in financial-market history," a former Lehman restructuring executive ... NY Post: Business - 9:48 p.m. Monday 23rd August 2010 PDT View Article Related Articles Email to Friend

1 week, 6 days ago

WHITNEY WESTGATE ATTENDS LPL FINANCIAL 2010 NATIONAL CONFERENCE spacer

[Leawood, KS], --8-20-2010 -- Whitney Westgate of Windsor Financial Group, Inc. in Leawood, Kansas recently attended focus10, a leading financial services industry conference hosted by LPL Financial, an independent broker-dealer. ... Kansas City Star: Business - 10 a.m. Friday 20th August 2010 PDT View Article Related Articles Email to Friend

2 weeks, 1 day ago

Fixed-Income Broker-Dealer KGS-Alpha Debuts With Private Equity Backing spacer

Fixed-Income Broker-Dealer KGS-Alpha Debuts With Private Equity Backing FOXBusiness.com : Latest Headlines - 4:55 p.m. Wednesday 18th August 2010 PDT View Article Related Articles Email to Friend

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Arsenal Invests in KGS as Private Equity Backs Broker-Dealers spacer

Private-equity firm Arsenal Capital Partners LP is backing a pair of former Citigroup Inc. executives in a new fixed-income broker-dealer called KGS-Alpha Capital Markets LP, as buyout firms take advantage ... BusinessWeek.com -- Top News - 1:07 p.m. Wednesday 18th August 2010 PDT View Article Related Articles Email to Friend

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1 month, 1 week ago

Mantara Offers Flexible Deployment of expressWay Through New Broker-Dealer spacer

JERSEY CITY, N.J., July 27 /PRNewswire/ -- Mantara, Inc., a provider of advanced technology solutions for high-frequency trading, announced that it has received broker-dealer registration approval from FINRA for MantaraX(TM), ... RedOrbit News - Technology - 10 a.m. Tuesday 27th July 2010 PDT View Article Related Articles Email to Friend

1 month, 1 week ago

OptionsXpress Broker-Dealer Targets More Advisers Over Time spacer

OptionsXpress Broker-Dealer Targets More Advisers Over Time FOXBusiness.com : Personal Finance - 9:55 a.m. Thursday 22nd July 2010 PDT View Article Related Articles Email to Friend

1 month, 1 week ago

State charges E-Trade. spacer

The Colorado Division of Securities has filed charges against E-Trade Securities LLC, a New York broker-dealer, alleging the firm sold Colorado investors auction-rate securities without properly informing them of the ... Denver Post : Business - 8:44 p.m. Wednesday 21st July 2010 PDT View Article Related Articles Email to Friend

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