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Broker-Dealer/Investment Management

Industry expertise with a focus on results

JMBM's Investment Management and Broker-Dealer Practice Group combines a traditional broker-dealer and investment adviser practice with substantial experience in the special issues related to the integration of additional business and professional services, such as insurance, loan origination, banking, accounting, business management, tax preparation and consulting services.

Clients include:

  • National banks, national and international integrated financial services companies
  • National separate account and fund advisers
  • National independent dual-registered broker-dealer/advisers
  • Regional and boutique broker-dealers, investment advisers, bond firms and investment banks
  • Technology-based broker-dealers involved in best execution and soft dollar services to advisers and broker-dealers
  • Accounting and business management firms in financial services
  • Major individual producer or teams changing firms or founding new firms
  • Insurance agents, insurance brokers, life settlement companies, and insurance producer groups
  • Non-bank lenders and loan brokers, including mortgage origination and lending

The Group has represented a number of the largest Asia-based broker-dealers in their U.S. operations and in cross-border regulatory issues, as well as a significant percentage of the 'Barron's 1000' top advisers.

JMBM's Investment Management and Broker-Dealer Practice Group has handled dozens of acquisitions and sales of broker-dealers and investment advisers, and many 'roll ups' of financial and business services firms. The group has handled representation of clients regarding regulatory investigations and enforcement matters, securities arbitrations and litigation, and industry related labor and tax matters throughout the U.S. for more than 30 years.

JMBM advises client services businesses on all industry matters, including:

  • Representation in investigations and enforcement matters before the SEC, FINRA and State regulators
  • Registration and licensing
  • Regulatory compliance and risk management
  • Mergers and acquisitions
  • Recruiting and labor issues
  • Affinity and alliance programs
  • Development of new investment products and services
  • Private investment fund formation, marketing and operations
  • ERISA issues
  • Development and implementation of new technology
  • JMBM represented Wells Fargo Foothill, part of Wells Fargo & Co., in the arrangement of a new two-year asset-backed credit facility for Silicon Graphics, Inc. Ableco Finance LLC was also involved in the agreement. The new facility increases SGI's credit line to $100 million, consisting of a $50 million revolving line of credit and a […]