The Broker-Dealer Mergers and Acquisitions Market is Warming Up

Posted on June 16th, 2017 at 1:00 PM
The Broker-Dealer Mergers and Acquisitions Market is Warming Up

From the Desk of Jim Eccleston at Eccleston Law LLC:

Recently, there has been an uptick in larger companies acquiring small to mid-sized independent broker-dealers. This has been demonstrated by Western International Securities, Kovack Securities, National Holdings, and Ameriprise Financial, all having purchased assets from small to mid-sized firms in 2016 and 2017.

The trend was previously predicted by many industry professionals, as independent broker-dealers have seen margins compress steadily due to low interest rates and new regulations, such as the Department of Labor's pending fiduciary standard.

The attorneys of Eccleston Law LLC represent investors and advisors nationwide in securities and employment matters. The securities lawyers at Eccleston Law also practice a variety of other areas of practice for financial advisors including Broker Litigation & ArbitrationStrategic Consulting ServicesRegulatory  MattersTransition Contract Review, and much more. Our attorneys draw on a combined experience of nearly 65 years in delivering the highest quality legal services. If you are in need of legal services, contact us to schedule a one-on-one consultation today.

Related Attorneys: James J. Eccleston

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