Broker-Dealers In the News

  • 1st Bridgehouse Securities
  • 1st Discount Brokerage
    • 1st Discount Brokerage is a firm unflinchingly devoted to financial fitness for our clients. We have built our company around wanting to create value for both investors and savers by helping individuals meet their economic needs. Whether they have a hundred or a million dollars, we blend contemporary digital technologies with a commitment to personal financial well-being to help our clients achieve their goals.”
  • 1st Global Capital Corp.
    • We are 1st Global Capital LLC and our primary goal is to provide all businesses with the money they need to invest in inventory, improve machinery, pay bills, upgrade technology or systems or whatever else they need funding to do. We specialize in unsecured business funding and merchant cash advance solutions. We also do asset-based funding and factoring. If you own a business and need cash fast, we’re the company to call. We can provide the money you need within hours of your application being submitted.
  • ACAP Financial
  • Adirondack Trading
  • Affinity Fraud
  • AIG Financial Advisors
  • Allegiant Securities
  • Allstate Financial Services
  • American Capital Partners
  • American Classic Securities
  • American Investors Group
  • American Municipal Securities
  • American Portfolio Financial Services
  • American Securities Group
  • Ameriprise Financial
  • Ameritas Investment Corp
  • Anderson & Strudwick
  • Antony Lee Turbeville
  • Argent LLC
  • Argentus Securities
  • Arive Capital Markets
  • Arque Capital
  • Associated Securities Corp
  • Atlantic Coast Financial
  • Atlas One Financial
  • Ausdal Financial Partners
  • Avenir Financial Group
  • AXA Advisors
  • AXA Equitable Life Insurance
  • B.B. Graham & Company
  • B.C. Ziegler and Company
  • B&T Securities
  • Banc One Securities Corp
  • BancNorth Investment Group
  • Bank of America
  • Barclays Capital
  • Barrett & Company
  • BB&T Investment Services
  • Bedrok Securities
  • Beneficial Investment Services
  • Benjamin F. Edwards & Co.
  • Berthel Fisher and Company
  • Best Direct Securities
  • Beta Capital Management
  • BFT Financial Group
  • Blackbook Capital
  • Blackwell Capital (PHX)
  • BNP Paribas Securities
  • Bolton Global Capital
  • Brickell Global Markets
  • Bridge Capital Associates
  • BrokersXpress LLC
  • Brookstone Securities
  • Brookstreet Securities
  • Brookville Capital
  • Cabot Lodge Securities
  • Cadaret, Grant & Co.
  • Caldwell International Securities
  • Calton & Associates
  • Cambridge Investment Research
  • Cape Securities
  • Capital Financial Services
  • Capital Investment Group
  • Capital Management Partners
  • Capitol Securities Management
  • Caprock Securities
  • Capstone Asset Planning Company
  • Carillon Investments
  • CBG Financial Group
  • Centaurus Financial
  • Center Street Securities
  • Century Securities
  • Certified Financial Planning Board
  • Cetera Advisors
  • Cetera Financial Group
  • CFD Investments
  • CFD Investments Inc.
  • Charles W Pace Securities
  • Chase Investment Services
  • Chelsea Financial Services
  • Chestnut Exploration Partners
  • Chicago Investment Group
  • Citadel Securities
  • Client One Securities
  • Coastal Equities
  • Cobalt Capital
  • Coker & Palmer
  • Commonwealth Capital Securities Corp.
  • Commonwealth Financial Network
  • Concord Equity Group
  • Concorde Investment Services
  • Country Capital Management
  • Cova Capital Partners
  • Craft Capital Management
  • Craig Scott Capital
  • Credicorp Securities
  • Credit Suisse
  • Crown Capital Securities
  • Cumberland Brokerage Corp.
  • CUNA Brokerage Services
  • CUSO Financial Services
  • D.A. Davidson & Co.
  • Dalton Strategic Investment Services
  • Direct Capital Securities
  • Donald Saccomano (Source Capital)
  • Dougherty & Company
  • du Pasquier & Co.
  • Dynasty Capital Partners
  • E.J. Sterling
  • E.S. Financial Services
  • E*Trade
  • Eaton Vance
  • EDI Financial
  • Edward Jones
  • EFG Capital International
  • Emerson Equity LLC
  • Emmett A. Larkin & Co.
  • Equity Services Inc.
  • Equity Station
  • Euro Pacific Capital
  • F-Squared Investments
  • Farmers Financial Solutions
  • Feltl & Company
  • Fifth Third Securities
  • Finance 500
  • Financial Network Investment Corp
  • Financial Telesis
  • Financial West Group
  • FINTEGRA LLC
  • First Allied Holdings
  • First Allied Securities
  • First Brokerage America
  • First Command Financial Planning
  • FIrst Financial Equity
  • First Heartland Capital
  • First Independent Financial Services
  • First Legacy Securities
  • First Midwest Securities
  • First Southwest Company (now Hilltop Securities)
  • First Standard Financial
  • First Western Securities
  • Florida Office of Financial Regulation
  • Foothill Securities
  • Four Points Capital Partners
  • Fox Financial Management
  • FranklinTempleton
  • Frontier Funds
  • G.A. Repple & Company
  • Gardnyr Michael Capital Inc.
  • GBS Financial Corp
  • Geneos Wealth Management
  • Genesis Global Trading
  • Genworth Financial
  • Geoffrey Richards Securities
  • Glass & Company
  • Global American Investments
  • Global Arena Capital Corp
  • Global Financial Services
  • GMS Group
  • Golden Stream Securities
  • Goldman Sachs
  • Grant & Co.
  • Great Nation Investment Corporation
  • Greenhill & Co.
  • Greenwich High Yield LLC
  • GVC Capital
  • GWG Debentures
  • GWN Securities
  • H. Beck Inc
  • H.D. Brent & Co.
  • Halcyon Cabot Partners
  • Hallmark Investments
  • Harbor Financial Services
  • Harbour Investments
  • Hartford Equity Sales Co
  • Hornor Townsend & Kent
  • Howe Barnes Hoefer & Arnett
  • HSBC Securities
  • Hunter Scott Financial
  • IAA Financial
  • IBN Financial Services
  • ICM Capital
  • ICM Capital Markets
  • IFS Securities
  • IMS Securities
  • ING Financial Partners Inc
  • InSight Securities
  • Interactive Brokers
  • Interbolsa Securities
  • Intercoastal Capital Markets
  • International Assets Advisory
  • International Financial Solutions
  • InterSecurities Inc.
  • Invest Financial Corporation
  • Investment Planners Inc.
  • Investment Professionals (IBI)
  • Investment Professionals Inc
  • Investor’s Capital Corp.
  • J.D. Nicholas & Associates
  • J.P. Morgan Securities
  • J.W. Cole Financial
  • Janney Montgomery Scott
  • Jennifer Trowbridge
  • JHS Capital Advisors
  • JMP Securities
  • John Carris Investments
  • Joseph Stone Capital
  • Kovack Securities
  • Kuhn Brothers Securities
  • L.M. Kohn & Co.
  • Laidlaw & Company
  • Lambert and Noel Securities
  • Lampert Capital Markets
  • Landmark Investment Group
  • Lantern Investments
  • Legend Equities Corporation
  • Legend Securities
  • Lehman Principal Protected Notes
  • Leigh Baldwin & Co.
  • LEK Securities
  • Leonard & Company
  • Liberty Partners Financial Services
  • LIghthouse Financial Group
  • Lincoln Financial
  • LPL Financial
  • LPS Partners
  • M & T Securities
  • Maloney Securities
  • Matrix Capital Group
  • Mayfair Capital Markets
  • McNally Financial Services
  • MDB Capital Group
  • Merrill Lynch
  • Merrimac Corporate Securities
  • Metlife Securities
  • Mid Atlantic Capital Corporation
  • MidAmerica Financial Services
  • Midsouth Capital
  • Ministry Partners Securities
  • MML Investors Services
  • MNR Executions
  • Moloney Securities
  • Monex Securities Inc.
  • Moors & Cabot
  • Morgan Stanley
  • MWA Financial Services
  • National Planning Corp.
  • National Securities Corporation
  • Nationwide Securities
  • Needham & Co.
  • NelsonReid Inc
  • New England Securities
  • Newport Coast Securities
  • NFP Securities
  • Noble Financial Capital Markets
  • Noble International Investments
  • Nobles & Richards
  • Northeast Securities Inc
  • Northern Trust Securities Inc.
  • Northgate Securities
  • Northland Securities
  • NSM Securities
  • NYLife Securities
  • Oak Ridge Financial Services Group
  • Oakbridge Financial Services
  • Obsidian Financial
  • Ocean Cross Capital Markets
  • Odeon Capital Group
  • Olgilvie Security Advisors
  • Omni Brokerage
  • OneAmerica Securities
  • Oppenheimer
  • Orchard Securities
  • Pacific Cornerstone Capital Inc.
  • Pacific Select Distributors
  • Pacific West Securities
  • Packerland Brokerage Services
  • Park Avenue Securities
  • Paulson Investment Company
  • Peak Securities
  • Petersen Investments
  • Petrogrowth Energy Advisors
  • PFS Investments
  • Phoenix Financial Services
  • PHX Financial
  • Pinnacle Investments
  • PlanMember Securities Corp.
  • PNC Investments
  • Princor Financial Services
  • ProEquities Inc.
  • Prospera Financial Services
  • PRUCO Securities
  • Prudential Securities
  • PSA Equities
  • PTX Securities (fka Balance Financial Securities)
  • QA3 Financial Corp
  • Quantlab Securities
  • Quest Capital Strategies Inc.
  • Questar Capital Corporation
  • R.M. Duncan Securities
  • R.M. Stark & Co.
  • Radnor Research & Trading Company
  • RDM Investment
  • Redridge Securities
  • Reef Securities Inc.
  • Resource Horizons Group
  • Revere Securities
  • Riverstone Wealth Management
  • Rives Leavell Co
  • Robeco Securities
  • Round Hill Securities
  • Royal Alliance
  • Rushmore Securities
  • SagePoint Financial
  • Salomon Whitney Financial
  • Sammons Securities (now Parkland)
  • Sanders Morris Harris
  • Sandlapper Securities
  • Sandru Financial Group
  • Santander Securities
  • Seacoast Investor Services
  • SecondMarket Inc
  • Securevest Financial Group
  • Securian Financial
  • Securities Management & Research
  • Sigma Financial
  • Signator Investors
  • Smith Moore & Co.
  • Source Capital Group
  • Spartan Securities Group
  • Spire Securities
  • Statetrust Investments Inc.
  • Sterling Enterprises Group
  • Sterne Agee Financial Services
  • Steven L. Falk & Associates
  • Stifel Nicolaus & Co.
  • Strongtower Financial
  • Summit Brokerage Services
  • Sun Life Financial
  • Sun Trust Investment Services
  • Sunset Financial Services
  • SWS Financial Services
  • Synergy Investment Group
  • T. Rowe Price
  • TD Ameritrade
  • TFS Securities
  • The O.N. Equity Sales Company
  • The Tidal Group
  • Titan Securities
  • TNP Securities
  • Tower Square Securities
  • Transamerica Financial
  • Transcend Capital
  • Trident Partners
  • Tryco Securities
  • U.K. Financial Conduct Authority
  • Ultralat Capital Markets Inc.
  • UnionBanc Investment Services
  • United Equity Securities
  • United Planners Financial Services
  • United Securities Alliance
  • UVest Financial Services Group
  • Valic Financial Advisors
  • Vanderbilt FInancial Group
  • Vanderbilt Securities
  • Vandham Securities
  • Vanguard Capital
  • Vanguard Marketing Corporation
  • Venecredit Securities
  • Veritrust Financial
  • VFG Securities
  • Waddell & Reed
  • Wadsworth Investment Co.
  • Walnut Street Securities
  • Waveland Capital Partners
  • Weaver Tidwell Capital
  • Wedbush Securities
  • Wells Fargo
  • Wentworth Securities
  • Western Asset
  • Western International Securities
  • Westminster Financial Securities
  • Westpark Capital
  • Westport Resources Investment Services
  • WFG Investments
  • White Weld & Co. Securities
  • Wilbanks Securities
  • William Blair & Company
  • Williams Financial Group
  • Wilmington Capital Securities
  • Wilson-Davis & Co.
  • Wisconsin Division of Securities
  • Wm. H. Murphy and Co.
  • Woodstock Financial Group
  • Worden Capital Management
  • Workman Securities
  • World Equity Group Securities
  • Worth Financial Group
  • WRP Investments
Securities Attorney at Sallah Astarita & Cox | 212-509-6544 | mja@sallahlaw.com | Website | + posts

Mark Astarita is a nationally recognized securities attorney, who represents investors, financial professionals and firms in securities litigation, arbitration and regulatory matters, including SEC and FINRA investigations and enforcement proceedings.

He is a partner in the national securities law firm Sallah Astarita & Cox, LLC, and the founder of The Securities Law Home Page - SECLaw.com, which was one of the first legal topic sites on the Internet. It went online in 1995 and is updated daily with news, commentary and securities law related links.