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Home > Financial Services > Stock Brokers > Mclaughlin
Mclaughlin
Mclaughlin, Piven, Vogel Securities is a member of NASD, the National Association of Securities Dealers. NASD is a self-regulatory organization of the securities industry responsible for the operation and regulation of the NASDQ stock market and over the counter markets. It also administrates exams for the investments professionals, such as the series of 7 exams.
MPV’s plan anticipates two classifications of Significant Business Disruptions, internal and external. Internal SBD’s affect only MPV’s ability to communicate and do business, such as a fire in their building. External SBD’s prevent the operation of the securities markets or a number of firms, such as a terrorist attack, a city flood, or a widespread regional disruption. Their response to an external SBD relies more heavily on other organizations, especially on the capabilities of our Clearing Agent ADP.
ADP Clearing & Outsourcing Services, Inc. has prepared this report pursuant to U.S Securities and Exchange Commission Rule 11Ac1-6 which requires broker-dealers to make publicly available quarterly reports on their order routing practices. The report provides information on the routing of non-directed orders, any order that the customer has not specifically instructed to be routed to a particular venue for execution. For these non-directed orders, ADP has selected the execution venue on behalf of its customers.
As stated above, the principal is insured to be returned in its entirety at the maturity of the zero coupon bond and the income flow each month should provide the opportunity or potential to generate income exceeding that of a traditional bond. In addition, if the value of the underlying stocks has increased at the time the bond matures, this would be a source of potential capital gains, which does not exist with an investment in a traditional bond. Such potential capital gains are not guaranteed, as the value of such stocks could be the same, more or less than the price at which you purchased them.
Client satisfaction is the most appropriate measure of their success, and they pride themselves on their high level of communication and service.
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