Catherine Synan No Comments

FINRA Representation in the Transport and Logistics Industry

It appears that much of this industry has long been victim to non-licensed business brokers completing Asset Sales and Stock Sale transactions. Many of these transactions are securities transactions and required Finra Licensing. FINRA and the SEC is looking hard at non-licensed brokers working on securities transactions.

One of the largest and most notable firms in the industry is run by a convicted felon. Clarke as a fully licensed Finra firm protects the buyer and seller and all Finra reps are subject to background checks.

It’s 2012, be smart hire a Finra firm for representaion.

Catherine Synan No Comments

Boutique Investment Bank vs. Business Broker

In the transportation and logistics market we are constantly coming up against the tranditional local Business Broker as competition. It is important to distinguish the difference between a Boutique Investment Bank and a Business Broker. Lets start with the most obvious differences:

Finra Licensing allows for securtiies transactions (IE: a stock sale) and insures the seller of a clean background check for the I-Banker.

Private Equity experience is typically much stronger.

Research on the Transportation and Logistics space is stressed nationally.

After the sale services: a. Asset Management, Trust planning, succession planning utilizing a world wide top 10 Investment Bank, Royal Bank of Canada “RBC”

Rarely do we charge upfront fees due to our confidence in completing the transaction.