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A stockbroker is an individual or company that buys and sells stocks and other investments for a financial market participant in return for a commission, markup, or fee.In most countries they are regulated as a broker or broker-dealer and may need to hold a relevant license and may be a member of a stock exchange.
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In September 1997, Travelers acquired Salomon Inc. (parent company of Salomon Brothers Inc.), for over $9 billion ($17,628,731,343 today) in stock, and merged it with its own investment arm to create Salomon Smith Barney. [11]
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Equity Funding was founded in 1960. Its two top officials and shareholders were Stanley Goldblum and Michael Riordan (brother of future Mayor of Los Angeles Richard Riordan), who was killed in January 1969 in a mudslide that destroyed his home in Los Angeles. The company went public in 1964.
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U.S. Securities and Exchange Commission officials recently settled cases with a pair of Winterset stockbrokers, including an official on multiple city and nonprofit boards.