Broker-Dealer Litigation and Arbitration

New Jersey Lawyer Article

Registered investment advisors (RIAs) are a growing sector of the wealth management industry. Over 2,000 new RIA firms were created last year alone. There are now more than 30,000 RIAs in the United States, and over 3,000 of them have in excess of $1 billion in assets under management. This tremendous growth reflects the fact that an increasing number of investors are choosing RIA firms instead of traditional Broker-dealers for their investment and wealth management needs.

This article was originally published in the December 2015 issue of New Jersey Lawyer, a publication of the New Jersey State Bar Association, and is reprinted here with permission.


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Broker-Dealer Alert


January 2015

In This Issue:

  • FINRA'S 2015 Regulatory and Examinations Priorities Letter
  • Recent FINRA Rule Changes
  • Proposed FINRA Rules
  • Enforcement Trends and Activity

Download Broker-Dealer Alert PDF to read more >