Tagged with "Broker Consolidation"

Top Five Upward Concerns for Advisers in 2015

Posted on January 2nd, 2015 at 10:08 AM
Top Five Upward Concerns for Advisers in 2015

Financial advisers are serious about growing their businesses in 2015. On one side, they see plenty of opportunities for growth; on the another side, they also see the uncertainties, like broker-dealer consolidations, the possibility of increased regulation and the mixed blessing of multiple business models to choose from. 

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If the regulators are after you, and are trying to make a case against you, and you are going to contest their allegations against you, make sure you have the best securities industry defense lawyers, Eccleston Law Firm. My case was spun into a combination of penalties including fines, cash settlements, CE courses and suspension. They were the best I have seen in action. When all was said and done, they had done their magic, my situation was negotiated and settled with a simple "letter of caution" and a case closed without action. It is the most important legal business decision you will ever make, make it Eccleston Law.

Rick R.

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