INVESTMENT BANKS (BROKERAGE) -  Business History of Firms

1800 - Alexander Brown, Irish immigrant from Ballymena, Northern Ireland, former auctioneer in Belfast linen market, established Alexander Brown & Son, linen import business in Baltimore, MD (changed to Alexander Brown & Sons in 1810 when third son made partner); also known as merchant bankers (dealers in Sterling Exchange, ship owners, issuers of letters of credit to other dry goods merchants for import of goods); 1804 - organized Baltimore Water Co.; 1810 - William Brown, oldest son, sent to England, established business in Liverpool under name William Brown & Co.; October 10, 1818 - John A. Brown (third son) sent to Philadelphia to open John A. Brown & Co., branch office of Alexander Brown & Sons to be closer to customers in Maryland, adjacent states; 1839 - renamed Brown Brothers & Co.; 1825 - William Brown joined by partner, Joseph Shipley; business financed merchants shipping goods between Britain, United States, other parts of Europe and Americas; 1825 - James Brown (youngest son) sent to New York, after opening of Erie Canal made New York center of export/import trade, opened office of Brown Brothers & Co.; 1827 - Alexander Brown helped organize Baltimore & Ohio Railroad; 1837- William Brown & Co. name changed to Brown Shipley & Co. (annual sales exceed 10 million pounds); 1839 - Alex. Brown & Sons became separate banking concern; 1918 - partnership between Brown Shipley, Brown Brothers & Co. ended; January 1, 1931 - W. A. Harriman & Co. merged with Brown Brothers & Co., formed Brown Brothers Harriman; oldest, largest partnership bank in America; 1992 - Brown Shipley & Co. Ltd. acquired by European bank KBL, joined its group of Private Bankers; April 1997 - acquired by Bankers Trust Co. for for $1.7 billion; November 1998 - Bankers Trust acquired by Deutsche Bank; 2005 - KBL European Private Bankers now owned directly by KBC Group NV, one of Europe's largest financial companies.

1819 - Philip Cazenove joined business of John Menet (brother-in-law); 1823 - became partners; 1835 - Menet died, went into partnership with Joseph Laurence and Charles Pearce; branched out on his own; 1854 - formed partnership with his son and nephew; mid 1930s - one of City of London's pre-eminent stockbroking partnerships; April 2001 - firm incorporated; November 5, 2004 - combined with JPMorgan's UK investment banking business, owned jointly, called JPMorgan Cazenove.

1832 - Col. Washington Romeyn Vermilye and George Carpenter formed banking partnership, Carpenter & Vermilye, at 32 Wall St.; 1862 - name changed to Vermilye & Co.; 1877 - William Augustus Read joined firm; 1886 - became partner; 1906 - took over firm, changed bond brokerage firm's name to William A. Read & Company; 1913 - Clarence Dillon (born Clarence Lapowski in Texas; Dillon - mother's maiden name) joined firm; 1916 - became partner, acquired majority interest after Read's death.

1837 - Francis Martin Drexel (46) opened currency brokerage firm in Louisville, KY; 1838 - moved business to Philadelphia, PA; 1846 - U.S. government asked Drexel to underwrite the Mexican War (1846-48) with an issuance of $49 million in war bonds; 1847 - oldest sons made partners, renamed Drexel & Company; 1851 - established banking affiliate, Drexel, Sather & Church in San Francisco (closed in financial panic preceding Civil War); 1868 - Drexel, Harjes & Co. founded in Paris; 1871 - Drexel, Morgan & Co. (J.P. Morgan as junior partner) founded in New York City; 1893 - renamed J. P. Morgan & Co. at Anthony Drexel’s death.

1844 - Henry Lehman, immigrant from Germany, opened small shop in Montgomery, AL; 1850 - joined by brothers Emanuel and Mayer, named business Lehman Brothers; became brokers for buyers, sellers of cotton crop; 1858 - opened office in New York (commodity trading center of the country); expanded commodities business to include sale, trading of securities (railroad bonds); 1887 - acquired seat on NYSE; 1889 - underwrote first public offering (International Steam Pump Company); became financier to emerging retailers (Sears, Roebuck & Company, F.W. Woolworth Company, May Department Stores Company, Gimbel Brothers, Inc., R.H. Macy & Company); 1975 - acquired Abraham & Co.; 1977 - merged with Kuhn, Loeb; 1984 - acquired by American Express, renamed Shearson Lehman/American Express; 1993 - Shearson Lehman divested; 1994 - became independent, renamed Lehman Brothers Holding Inc.; 1999 - surpassed $1 billion in net income.

1848 - Alexandre, Simon and Elie Lazard founded Lazard Freres as a dry goods business in New Orleans; moved San Francisco, opened business selling imported goods, exporting gold bullion; became involved in financial transactions, expanded into banking, foreign exchange businesses. 1852 - opened office in Paris (owned by individual partners, relations of their founders); 1870 - opened office in London (majority-owned by Pearson plc for much of 20th century); 1876 -  concentrated on financial services; 1880 - Alexander Weill, founding brothers’ cousin, assumed control; 1944 - New York House (owned by individual partners, relations of their founders) led by André Meyer; 1956 - Michel David-Weill, descendant of founding families, joined Lazard Frères et Cie. in Paris; 1969 - established asset management business in Paris; 1970 - New York House established Lazard Asset Management (institutional asset management) to complement financial advisory business; 1977 - David-Weill became senior partner; January 3, 2000 - Houses of Lazard merger to form Lazard LLC, single global firm; Pearson sold interests to predecessor of Eurazeo S.A.

November 13, 1858 - Gustav, Charles, Albert, Emil Sutro (relatives of Adolf Sutro) founded Sutro & Co. in San Francisco to engage in general banking; oldest investment banking firm in San Francisco; oldest New York Stock Exchange Member Firm west of Mississippi; largest full-service regional investment firm in California; 1986 - acquired by John Hancock Mutual Life Insurance Co. (part of Freedom Securities Corporation subsidiary); April 2000 - Freedom Securities Corporation name changed to Tucker Anthony Sutro; October 2001 - acquired by Royal Bank of Canada for $600 million, merged into Dain Rauscher unit; ninth largest full-service securities firm in United States (nearly 2,100 retail representatives).

January 1, 1861 - Jay Cooke opened the private banking house of Jay Cooke & Company in Philadelphia.

April 1865 - Henry P. Kidder, Francis H. Peabody, Oliver W. Peabody formed Kidder, Peabody & Co. as  reorganization of J. E. Thayer & Brother (founded 1824); March 1931 - reorganized, new partnership formed: Chandler Hovey, Edwin Sibley Webster Jr., Albert H. Gordon.

1867 - Abraham Kuhn and Solomon Loeb founded Kuhn, Loeb & Co. (formerly successful merchandisers in Cincinnati, OH); January 1, 1875 - Jacob Schiff, Loeb's son-in-law, joined firm; 1977 - merged with Lehman Brothers, formed Lehman Brothers, Kuhn, Loeb Inc.; 1984 - acquired by American Express, renamed Shearson Lehman/American Express; name dropped.

January 20, 1870 - Victoria Woodhull,  Tennessee Claflin (sister ) opened Woodhull, Claflin & Co., nation's first brokerage firm run solely by women (part product of the sisters' friendship with rail baron Cornelius Vanderbilt).

September 18, 1873 - Surprise collapse of Jay Cooke and Co., due mainly to decision to fund second transcontinental railroad line; one of country's most reputable brokerage houses; thirty-seven banks, two brokerage houses also closed; losses increased, NYSE forced to shut for over a week; Secretary of the Treasury infused economy with $26 million in paper money; Panic (of 1873) did not subside, economy slumped through end of decade.

1879 - Leopold Cahn founded Leopold Cahn & Co. in New York City; 1886 - Jules S. Bache (nephew) made partner; 1892 - Bache took control, renamed company J.S. Bache & Co.; 1944 - name shortened to Bache & Co.; 1966 - $90 million gross revenues vs.$227 million for Merrill Lynch, Pierce, Fenner & Smith; 1981- acquired by Prudential Insurance Company of America.

1887 - Gen. Albert Gallatin Edwards retired from post of assistant secretary of the Treasury for Sub-Treasury bank in St. Louis (appointed made by President Abraham Lincoln); founded A.G. Edwards & Son Stock and Bond Traders with his son, Benjamin Franklin Edwards, in St. Louis, MO; May 31, 2007 - agreed to be acquired for $6.8 billion by Wacovia Corp. (3,300 brokerage locations nationwide, $1.1 trillion in client assets, 15,000 stockbrokers).

1904 - Edward F. Hutton, Franklyn Laws Hutton (brother), Gerald M. Loeb founded E. F. Hutton & Co. in San Francisco, CA; 1970 - Bob Fomon became CEO; 1980 - revenue of $1.1 billion, profits totaled $82 million, employed 6000 brokers; May 2, 1985 - pled guilty to 2000 counts of mail and wire fraud associated with over-drafting checking accounts costing banks millions of dollars; company agreed to pay fine of $2 million, compensate government $750,000 for its investigation expenses, make restitution to defrauded banks; December 1987 - acquired by Shearson for $29.25 per share.

1912 - Arthur James Nesbitt (former dry goods salesman, then employee of Lord Beaverbrook's Royal Securities Corporation) and Peter Thomson (former pickle salesman for the Canadian arm of the H. J. Heinz) formed Nesbitt, Thomson and Company in Toronto; simultaneously, opened offices on St. James Street in Montreal, Hamilton, Ontario; provided financing for mining, natural resource industries; underwrote stock, bond issues for many new electric power generating companies; 1925 - established Power Corporation of Canada as holding company for their substantial equity interests in number of major electric utilities; 1927 - acquired Ogilvy department store in Montreal (son James Aird ran for more than fifty years); 1954 - Arthur Dean Nesbitt (son) took helm of brokerage/investment business.

1923 - Joseph A. Bear, Robert B. Stearns, Harold C. Mayer founded Bear Stearns & Co. with $500,000 in capital as equity-trading firm; 1933 - hired Salim B. Lewis to manage institutional bond trading (later became CEO, chairman); opened first regional office in Chicago; 1955 - opened first international office in Amsterdam; 1978 - Alan "Ace" Greenberg named chairman; 1985 - Bear Stearns Companies, Inc. formed as holding company; went public; 2001 - James E. Cayne succeeded Greenberg as Chairman.

1924 - Dean G. Witter, Guy Witter (brother), Jean and Ed Witter (cousins), Fritz Janney (brother-in-law) founded Dean Witter & Company, retail brokerage firm in San Francisco, CA; 1938 - established national research department; 1945 - one of first retail securities firms to formally train account executives; 1962 - became first firm to use electronic data processing; 1969 - about 80 branches in U.S., Canada; largest investment firm on West Coast; 1978 - merged with Reynolds & Co.; renamed Dean Witter Reynolds; 1981 - acquired by Sears Roebuck for $661 million; 1986 - launched Discover Card (credit card); 1993 - 20% of company spun off, 80% distributed to shareholders; renamed Dean Witter, Discover and Company; May 31, 1997 - merged with Morgan Stanley Group Inc. in $10 billion deal; largest U.S. securities firm measured in terms of market value; renamed , Dean Witter, Discover & Company; 1998 - renamed Morgan Stanley Dean Witter.

1932 - First National Bank of Boston formed investment banking division; became independent firm after passage of Glass-Steagall Act ( February 27, 1933); first publicly-owned major investment banking firm; 1946 - Mellon Securities Corporation, former investment banking arm of Mellon Bank, merged with First Boston Corporation; 1978 - began London operations with 50-50 investment banking joint venture with Financière Crédit Suisse (known as Credit Suisse First Boston); 1988 - Credit Suisse acquired 44% stake in First Boston; name changed to CS First Boston; 1989 - bailed out First Boston after collapse of junk bond market; 1990 - acquired controlling interest; 1996 - acquired remaining stake of CS First Boston from management; January 1, 1997 - renamed investment bank Credit Suisse First Boston (CSFB, one global brand); parent company renamed Credit Suisse Group; 2001 - acquired Donaldson, Lufkin & Jenrette for $13 billion; January 16, 2006 - First Boston name dropped.

1935 - I. W. "Tubby" Burnham founded Burnham & Company with $100,000 in capital ($96,000 borrowed from his grandfather, founder of I.W. Harper, Kentucky distillery); 1967 - merged with Drexel & Co.; former Drexel Burnham; 1976 - merged with Lambert Brussels Witter (controlled by Belgian Bank Brussels Lambert); renamed Drexel Burnham Lambert, Inc.

September 16, 1935 - Henry S. Morgan, Harold Stanley, former partners in J. P. Morgan & Co.; opened Morgan Stanley on 19th floor of 2 Wall Street; 1936 - managed $1.1 billion in public offerings, private placements in first year (24% market share); 1942 - joined NYSE; 1971 - entered sales, trading business, established M&A division; 1975 - formed Morgan Stanley International in London; 1977 - merged with Shuman, Agnew & Co., entered retail stock brokerage; December 12, 1980 - led Apple's IPO (5 million shares offered at $22/share), largest IPO since 1964; 1986 - listed on NYSE; 1996 - acquired Van Kampen American Capital mutual funds; February 5, 1997 - merged with Dean Witter, Discover & Co.; April 2004 - acquired Barra (leading global provider of benchmark indices, risk management analytics); August 2004 - co-managed $1.9 billion Google IPO (largest Internet IPO to date, largest auction-based IPO in history); July 2006 - represented HCA in $33 billion sale to Bain Capital, KKR, Merrill Lynch (largest LBO to date); July 2006 - completed $10.4 billion OJSCOC Rosneft IPO (Russia's largest state-owned oil and gas company, Firm's largest IPO to date).

1940 - Former Drexel partners Edward Hopkinson, Jr., Thomas S. Gates, Jr., several associates, acquire rights to Drexel name, founded investment bank with initial capital investment of $1 million; 1965 - merged with Harriman, Ripley and Company, formed Drexel Firestone Inc.; 1967 - merged with Burnham and Company; formed Drexel Burnham; 1976 - merged with Lambert Brussels Witter (controlled by Belgian Bank Brussels Lambert); renamed Drexel Burnham Lambert, Inc.; 1981 - issued bonds for leveraged buyouts; 1982 - Frederick Joseph, formerly head of company's corporate finance department, took over as president; 1982-1983 - major underwriter of debt in country, of all industrial companies; 1986 - made most profits in one year of any Wall Street firm in history -$545.5 million; May 1986 - Securities and Exchange Commission charged Drexel Burnham Lambert managing director, Dennis Levine, with insider trading; 1987 - 49 percent market share of junk bond market, 78% drop in firm's earnings; December 1988 - pleaded guilty to six felony charges of illegal trading, paid $650 million in fines; February 13, 1990 - declared bankruptcy.

1963 - Chuck Schwab and two other partners launched Investment Indicator, an investment advisory newsletter (3,000 subscribers paid $84 a year at its height); May 1, 1975 - created discount brokerage firm; 1977 - opened office in Seattle, first branch outside of California; began offering seminars for customers; 1979 - invested in the BETA mainframe system, automated transaction and record keeping system; 1983 - acquired by Bank of America for $57 million; 1985 - one millionth customer account opened; 1987 - reacquired by management for $280 million; went public.

September 25, 1997 - Travelers Group acquired Salomon Brothers for $9 billion.

December 20, 2002 - The nation's 10 biggest brokerages agreed to pay $1.44 billion and fundamentally change the way they did business to settle allegations they'd misled investors by hyping certain stocks.

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(Alex. Brown), Frank R. Kent (1950). The Story of Alex. Brown & Sons. Issued on the One Hundred and Fiftieth Anniversary of the Foundation of the House in 1800. (Baltimore, MD: The Company, 2 vols.). Alex. Brown & Sons; Banks and banking--Maryland--Baltimore.

(Alex. Brown), Frank R. Kent (1975). The Story of Alex. Brown & Sons, 1800-1975. (Baltimore, MD: Alex Brown & Sons, 259 p.). Alexander Brown and Sons -- History; Banks and Banking -- Maryland -- Baltimore.

(Alex. Brown), Edwin J. Perkins (1975). Financing Anglo-American Trade: The House of Brown, 1800-1880. (Cambridge, MA: Harvard University Press, 323 p.). Alex. Brown & Sons; Banks and banking -- United States -- History -- Case studies; International finance.

(K. J. Brown Company), E. Bruce Geelhoed (1982). Bringing Wall Street to Main Street: The Story of K.J. Brown and Company, Inc., 1931-1981. (Muncie, IN: Bureau of Business Research, College of Business, and Dept. of History, 59 p.). K. J. Brown and Company--History.

(Cantor Fitzgerald), Howard Lutnick and Tom Barbash (2002). On Top of the World: Cantor Fitzgerald and 9/11: A Story of Loss and Renewal. (New York, NY: HarperCollins, 282 p.). Chairman of Firm. Cantor Fitzgerald (Firm)--History; World Trade Center (New York, N.Y.); Stockbrokers--New York (State)--New York--History; September 11 Terrorist Attacks, 2001.

(James Capel), M.C. Reed (1975). A History of James Capel & Co. (London, UK: James Capel & Co., 129 p.). James Capel & Co.; Stock Exchange (London, England).

(Cazenove), David Kynaston (1991). Cazenove & Co: A History. (London, UK: Batsford, 359 p.). Cazenove & Co. -- History; Stockbrokers -- England -- London -- History.

(City Securities), E. Bruce Geelhoed (1985). Indiana's Investment Banker: The Story of City Securities Corporation (Muncie, IN: Bureau of Business Research, College of Business : Dept. of History, College of Sciences and Humanities, 150 p.). City Securities Corporation--History; Investment  Banking--Indiana--History. 

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(Drexel Burnham), Dan G. Stone (1990). April Fools: An Insider's Account of the Rise and Collapse of Drexel Burnham. (New York, NY: D.I. Fine, 249 p.). Drexel Burnham Lambert Incorporated; Drexel Burnham Lambert Incorporated--Employees--Dismissal of; Stockbrokers--New York (State)--New York; Securities fraud--New York (State)--New York.

(Drexel Burnham), Fenton Bailey; with an introduction by Alan Dershowitz (1992). Fall From Grace: The Untold Story of Michael Milken. (Seacaucus, NJ: Carol Pub. Group, 330 p.). Milken, Michael; Drexel Burnham Lambert Incorporated; Stockbrokers--United States--Biography; Junk bonds--United States; Securities industry--Corrupt practices--United States.

(Drexel Burnham), Benjamin Stein (1992). A License to Steal: The Untold Story of Michael Milken and the Conspiracy to Bilk the Nation. (New York, NY: Simon & Schuster, 219 p.). Milken, Michael; Drexel Burnham Lambert Incorporated; Stockbrokers--United States--Biography; Junk bonds--United States; Securities industry--Corrupt practices--United States.

(Drexel Burnham), Harlan D. Platt (1994). The First Junk Bond: A Story of Corporate Boom and Bust. (Armonk, NY: M.E. Sharpe, 236 p.). Milken, Michael; Drexel Burnham Lambert Incorporated; Securities industry--Corrupt practices--United States; Junk bonds--United States.

(Drexel Burnham), Daniel R. Fischel (1995). Payback: The Conspiracy to Destroy Michael Milken and His Financial Revolution. (New York, NY: HarperBusiness, 332 p.). Professor of Corporate Law (University of Chicago). Milken, Michael; Drexel Burnham Lambert Incorporated; Junk bonds--United States; Insider trading in securities--United States.

(Fimagest), The Company (1996). La Revolution du Marche Financier Francais, 1978-1995: Naissance d’un Acteur Fimagest, Profession Gestionnaire. (Paris, FR: Public Histoire: A. Michel, 188 p.). Fimagest (Firm)--History; Securities industry--France--History--20th century.

(Gardner Rich & Co.), Chris Gardner with Quincy Troupe (2006). The Pursuit of Happyness: From The Mean Streets to Wall Street. (New York, NY: Amistad, 320 p.). CEO (Gardner Rich). Gardner, Chris (Chris P.); Gardner Rich & Co.; Stockbrokers--United States--Biography. From working poor single parent, living in an Oakland homeless shelter with his infant son to self-made millionaire.

(Lazard Freres), Didier Lazard (1988). Simon Lazard, 1828-1898: Emigré à Seize Ans, Pionnier du Far-West, Fondateur de la Banque Lazard: Les Origines de la Banque Lazard. (Paris, FR: Editions du Félin, 161 p.). Lazard, Simon, 1828-1898; Lazard, Simon, 1828-1898 --Journeys--United States; Bankers--France--Biography; Bankers--United States--Biography; United States--Description and travel.

(Lazard Freres), Cary Reich (1997). Financier, The Biography of André Meyer: A Story of Money, Power, and the Reshaping of American Business. (New York, City: Wiley, 392 p.). Meyer, André, 1898-1979; Capitalists and financiers--United States--Biography; Investment banking--United States--History.

(Lazard Freres), enquête de Laurent Chemineau (1998). L'Incroyable Histoire de Lazard Frères, La Banque Qui Règne sur le Monde des Affaires. (Paris, FR: Editions Assouline, 141 p.). Lazard Frères & Co.--History; Banks and banking--France--History.

(Lazard LLC), Martine Orange (2006). Ces Messieurs de Lazard. (Paris, FR: Albin Michel, 345 p.). Lazard Freres & Co.--History; Banks and banking--France--History; Bankers--France--Biography; Banks and banking--New York (State)--New York--History; Bankers--New York (State)--New York--Biography. 1980s - arranged more than 70% of all the corporate mergers, acquisitions in France; 1998 - arranged less than one-third; 2002 - recruited Bruce Wasserstein; killed 'old firm', created new investment bank.

(Lazard LLC), William D. Cohan (2007). The Last Tycoons: The Secret History of Lazard Freres & Co. (New York, NY: Doubleday, 752 p.). Six Years at Lazard Frères, Later Managing Director at JP Morgan Chase. Lazard Freres & Co.--History; Banks and banking--New York (State)--New York--History; Bankers--New York (State)--New York--Biography; Banks and banking--France--History; Bankers--France--Biography. Portrait of Wall Street through tumultuous history of this company - Michel David-Weill, Felix Rohatyn, Steve Rattner, Bruce Wasserstein.

(Lehman Brothers), Ken Auletta (1986). Greed and Glory on Wall Street: The Fall of the House of Lehman. (New York, NY: Random House, 253 p.). Lehman Brothers; Wall Street; Stockbrokers--United States.

(Lehman Brothers), David Neal Keller (1993). Edwin L. Kennedy: Reinvesting in Education. (Athens: OH: Ohio University Press,, 236 p.). Kennedy, Edwin Lust, 1904- ; Businesspeople--United States--Biography; Benefactors--United States--Biography; Philanthropists--United States--Biography; Universities and colleges--United States--Finance. Kennedy - Senior Partner, Lehman Brothers.

(Levesque, Beaubien), Jules Belanger (1998). Jean-Louis Levesque: A Biography. (Westmount, QU: R. Davies Multimedia, 312 p.). Levesque, Jean-Louis; Capitalists and financiers--Canada--Biography. 

(Mediobanca S.p.A), Giandomenico Piluso, (2005). Mediobanca: Tra Regole e Mercato. (Milano, IT: Egea, 229 p.). Mediobanca--History; Investment banking--Italy--History--20th century.

(Merrill Lynch), Donald T. Regan (1972). A View from the Street. (New York, NY: New American Library, 220 p.). Wall Street.

(Merrill Lynch), edited by Henry R. Hecht (1985). A Legacy of Leadership: Merrill Lynch, 1885-1985. (New York, NY: Merrill Lynch, 151 p.). Merrill Lynch & Co. (1973- )--History; Stockbrokers--United States--History.

(Merrill Lynch), Edward J. Perkins (1999). Wall Street to Main Street: Charles Merrill and Middle-Class Investors. (New York, NY: Cambridge University Press, 283 p.). Merrill, Charles, 1885-1956; Merrill Lynch & Co. (1973- )--History; Capitalists and financiers--United States--Biography. History of Merrill Lynch and founder Charles Merrill.

(Montgomery Securities), Richard Brandt with contributions by Thomas Weisel (2002). Capital Instincts: Life as an Entrepreneur, Financier, and Athlete. (Hoboken, NJ: Wiley, 336 p.). Weisel, Thomas; Capitalists and financiers--United States--Biography; Businesspeople--United States--Biography. 

(Moody's), John Moody (1975). The Long Road Home: An Autobiography. (New York, NY: Arno Press, 263 p. [orig. pub. 1933]). Moody, John, 1868-1958; Capitalists and financiers--United States--Biography.

(Morgan Stanley), Patricia Beard (2007). Blue Blood & Mutiny: The Fight for the Soul of Morgan Stanley. (New York, NY: Morrow, 352 p.). Morgan Stanley. Leadership battle at Morgan Stanley - fight for dominance between two competing business cultures: 1) collegial meritocracy from days of J. P. Morgan, 2) cold, contemporary corporate model.

(Mullens & Co.), David Wainwright (1990). Government Broker: The Story of an Office and of Mullens & Co. (East Molesey, UK: Matham, 160 p.). Mullens & Co.; Securities markets Business History Great Britain.

(Nesbitt Thomson Inc.), A.R.Deane Nesbitt (1989). Dry Goods & Pickles: The Story of Nesbitt, Thomson. (Toronto, Canada: The Author, 144 p.). Grandson of Founder. Nesbitt, Thomson Inc.--History; Nesbitt, Arthur James.

(Nomura), Albert J. Alletzhauser (1990). The House of Nomura: The Inside Story of the Legendary Japanese Financial Dynasty. (New York, NY: Arcade Pub. Co., 343 p.). Nomura Sh¯oken Kabushiki Kaisha--History; Stockbrokers--Japan; Securities industry--Japan.

(Paine Webber), Paine Webber Inc. (1930). Paine, Webber & Company, 1880-1930. A National Institution. (Boston, MA: Oxford-Print, 75 p.). Brokers -- United States.

(Prudential-Bache), Jeffrey Taylor (1994). The Pru-Bache Murder: The Fast Life and Grisly Death of a Millionaire Stockbroker. (New York, NY: HarperCollins, 293 p.). Prozumenshikov, Michael, 1953-1991; Prudential-Bache Securities, Inc.--Case studies; Murder--Minnesota--Minneapolis--Case studies; Stockbrokers--Malpractice--Minnesota--Minneapolis--Case studies.

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(Prudential-Bache), Kathleen Sharp (1995). In Good Faith. (New York, NY: St. Martin's Press, 256 p.). Prudential-Bache Securities, Inc.--Corrupt practices; Securities fraud--United States--Case studies.

(Royal Securities Corporation), Douglas How (1986). Canada's Mystery Man of High Finance: The Story of Izaak Walton Killam and His Glittering Wife Dorothy. (Hantsport, NS: Lancelot Press, 173 p.). Killam, Izaak Walton, 1885-1955; Killam, Dorothy Johnston, 1899-1965; Capitalists and financiers -- Canada -- Biography.

(Royal Securities Corporation), Gregory P. Marchildon (1996). Profits and Politics: Beaverbrook and the Gilded Age of Canadian Finance. (Toronto, ON: University of Toronto Press, 348 p.). Beaverbrook, Max Aitken, Baron, 1879-1964; Royal Securities Corporation--History; Consolidation and merger of corporations--Canada--History; Business and politics--Canada--History; =Canada--Economic conditions--1867-1918.

(Salomon Brothers), Robert Sobel (1986). Salomon Brothers, 1910-1985: Advancing to Leadership. (New York, NY: Salomon Brothers, 240 p.). Salomon Brothers--History; Investment banking--New York (State)--New York--History.

(Salomon Brothers), Martin Mayer (1993). Nightmare on Wall Street: Salomon Brothers and the Corruption of the Marketplace. (New York, NY: Simon & Schuster, 272 p.). Salomon Brothers; Government securities--Marketing--Corrupt practices--United States.

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(Standard & Poor's), Alfred D. Chandler, Jr. (1956). Henry Varnum Poor, Business Editor, Analyst, and Reformer. (Cambridge, MA: Harvard University Press, 362 p.). Poor, Henry Varnum, 1812-1905; Railroads--United States--History.

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(Julia Walsh & Sons), Julia Montgomery Walsh in collaboration with Anne Conover Carson (1996). Risks and Rewards: A Memoir. (McLean, VA: EPM Publications, 216 p.). Walsh, Julia Montgomery; Stockbrokers--United States--Biography; Women in finance--New York (State)--New York--Biography.  

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