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Investment Advisor/Broker-Dealer

Investment Advisor/Broker-Dealer

Elkins Kalt’s Investment Advisor and Broker-Dealer Practice Group attorneys have extensive experience representing international, national and boutique investment banks, broker-dealers, investment advisers and individual advisers and brokers. The attorneys in the group represent clients in SEC, FINRA and state regulatory investigations and enforcement matters; FINRA securities arbitrations; federal and state court litigation; registration and licensing; regulatory compliance and risk management; mergers and acquisitions; recruiting and labor issues, including misappropriation of trade secrets, non-competition agreements and unfair competition; affinity and alliance programs; development of new investment products and services; private investment fund formation, marketing and operations; ERISA issues; and development and implementation of new technology.

Our attorneys have particular expertise in assisting clients on issues related to integrated financial and business services, including clients who are dually-registered broker-dealers and investment advisers in addition to being financial product sponsors, insurance agents and brokers, lenders and loan brokers, accounting and business management firms or providers of other business services consulting services. Members of Elkins Kalt’s Investment Advisor Group have represented hundreds of the largest individual advisers and adviser teams, including many of the “Barron’s 1000” top advisers, in career transitions and regulatory and litigation matters. They have represented national firms in recruiting and transition matters. They have extensive experience representing broker-dealers who provide research services in addition to investment banking and trading services. In particular, the attorneys have substantial transactional experience representing:

  • Broker-dealers and investment advisers in the institutional, middle market, family office and high net worth segments. 
  • Dually-registered broker-dealer/investment advisers providing integrated financial and business services such as insurance, loans, accounting, tax preparation and/or business management. 
  • Accounting and business management firms providing financial services. 
  • Insurance agents and brokers, life settlement companies and insurance producer groups. 
  • Financial and business services firms in the “roll-up” of other companies. 
  • International investment banks in matters relating to the regulation of cross-border broker-dealer activities.