"What is more interesting than the bank is the fact that he also controls a very large brokerage office."

The brokerage office provides support staff, desk space, computers, phone service and advertising in exchange for a cut of commissions.

Individual salespeople in brokerage offices do not have to be licensed.

They paint a picture of a brokerage office in Atlanta that was out of control.

What he found at his suburban brokerage office were individual investors eager to buy and not even thinking of selling.

My friends needle me about this team," he said from his brokerage office in Atlanta, "but that's normal.

"Any time you want to see me, commissioner, just put in a call to my brokerage office."

The three operate a large network of retail brokerage offices.

I can understand a bank or a brokerage office, not the cloakand-dagger business.

It is common in brokerage offices for two brokers to get together and form a partnership.