Investment Adviser & Broker-Dealer

Elkins Kalt’s Investment Adviser and Broker-Dealer attorneys have extensive experience representing international, national and boutique investment banks, broker-dealers, investment advisers and individual advisers and brokers. Our attorneys have particular expertise 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 financial product sponsors, insurance agents and brokers, lenders and loan brokers, accounting and business management firms, and providers of other consulting services.

We have represented hundreds of the largest individual advisers and adviser teams, including many “Barron’s 1000” top advisers, in career transitions and regulatory and litigation matters. We have also supported national firms in recruiting and transition matters, as well as international investment banks in matters relating to the regulation of cross-border broker-dealer activities. Our team has extensive experience representing broker-dealers who provide research services in addition to investment banking and trading services.

Our services:

  • 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 / roll-ups
  • 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
  • Employee Retirement Income Securities Act (ERISA) issues
  • Development and implementation of new financial services technologies