Inside the Litigation Lion

Death of the Small Broker-Dealer

“After all the highways, and the trains, and the appointments, and the years, you end up worth more dead than alive.”  ~ Willy Loman, in Arthur Miller’s Death of a Salesman

by Richard A. Roth and Craig B. Tepper Over the past decade, a tremendous amount of pressure has been laid on the shoulders of the small broker-dealers of the securities industry. Like the iconic Willy Loman in Arthur Miller’s Death of a Salesman, these small and/or independent brokerages are allotted a significantly shorter leash than they have been in years past, and because of it, they are rapidly becoming the endangered species of the securities jungle. The statistics are plain ...

WealthManagement.com Freemium Content

"Death of the Small Broker-Dealer" is FREE to access as a registered user on WealthManagement.com.

Why Register for WealthManagement.com? It's simple and free, and here is what you get:

  • Reuters' dedicated Wealth Management news coverage, every single day.
  • Interactive rankings of brokers and independent advisors.
  • Access to our lively users’ forums to get inside info from fellow advisors.
  • Insights from our proprietary research on topics like social media and practice management.
  • Unlimited access to the Value My Practice profile tool.

Already registered? here.

Please or Register to post comments.

What's Inside the Litigation Lion?

An inside view of trends in SEC/FINRA regulatory and compliance issues and how it affects individual financial advisors and their firms.

Contributors

Richard Roth

Richard Roth is the founder and president of The Roth Law Firm, PLLC, a boutique litigation firm that concentrates in litigating securities arbitrations and SEC/FINRA enforcement actions. He...
Blog Archive
Careers Category Sponsor Links

Sponsored Introduction Continue on to (or wait seconds) ×