Death of the Small Broker-Dealer

Death of the Small Broker-Dealer

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 st

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