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

Tags: Eccleston, Eccleston Law, James Eccleston, Eccleston Law LLC

Return to Archive

TESTIMONIALS

Previous
Next

I want to thank you for your excellent professional representation. It was greatly appreciated.

Michael M.

LATEST NEWS AND ARTICLES

January 25, 2022
Top FINRA Initiatives For 2022

A host of new initiatives are ahead in 2022 at the Financial Industry Regulatory Authority (FINRA), according to CEO Robert Cook.

January 24, 2022
FINRA Set To Issue Crypto Notice And Consider Expungement Reform

The Financial Industry Regulatory Authority (FINRA) is set to issue a regulatory notice pertaining to cryptocurrency as well as expungement reform.

January 21, 2022
CFP Board Establishes New Appeals Commission

The Certified Financial Planner (CFP) Board of Standards has established a new Appeals Commission. As the name suggests, the Appeals Commission possesses the sole authority to adjudicate appeal hearings.