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Corporate Reform Initiatives
Investment Protection Standards
List as of August 5, 2011
The California State Treasurer's Office maintains Investment Protection Standards that aim to safeguard investors, taxpayers and pensioners by setting minimum standards of financial conduct for investment banks and broker/dealers which do business with the State of California. The following firms have certified to the State Treasurer's Office that they comply with the Investment Protection Standards:
Alamo Capital
Aon Benfield Securities, Inc.
Backstrom McCarley Berry & Co., LLC
B.C. Ziegler and Company
Blaylock Robert Van, LLC
Brandis Tallman LLC
Cabrera Capital Markets, LLC
Comerica Securities
De La Rosa & Co.
Edward Jones
Estrada Hinojosa & Company, Inc.
Fidelity Capital Markets
The Frazer Lanier Company
Goldman, Sachs & Co.
Great Pacific Securities
Greencoast Capital Partners
Hutchinson Shockey Erley & Co.
Jackson Securities
J.P. Morgan Securities LLC
KeyBanc Capital Markets Inc.
Loop Capital
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Mesirow Financial Inc.
Mitsubishi UFJ Securities (USA), Inc.
Morgan Keegan And Company, Inc.
Morgan Stanley
O’Connor & Co. Securities, Inc.
Oppenheimer & Co., Inc.
Piper Jaffray
Prager, Sealy & Co., LLC
Raymond James & Associates
RBC Capital Markets
Rice Financial Products Company
Robert W. Baird & Co., Inc.
Rockfleet Financial
Roosevelt & Cross, Incorporated
Sandgrain Securities Inc
Seattle-Northwest Securities Corp.
Siebert Brandford Shank & Co., LLC
SL Hare Capital, Inc.
Southwest Securities, Inc.
Sterne Agee
Stifel, Nicolaus & Company, Incorporated
Stone & Youngberg LLC
Sutter Securities Incorporated
Swiss Re Capital Markets Corp.
Wells Fargo Securities
William Blair & Co.
The Williams Capital Group, L.P.
Wulff, Hansen & Co.