UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549

FORM 8-K

CURRENT REPORT

Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934

     
Date of Report (Date of Earliest Event Reported):   May 9, 2013

Ladenburg Thalmann Financial Services Inc.
__________________________________________
(Exact name of registrant as specified in its charter)

     
Florida 001-15799 650701248
_____________________
(State or other jurisdiction 		_____________
(Commission 		______________
(I.R.S. Employer
of incorporation) File Number) Identification No.)
      
4400 Biscayne Blvd., 12th Floor, Miami, Florida   33137
_________________________________
(Address of principal executive offices) 		  ___________
(Zip Code)
     
Registrant’s telephone number, including area code:   (212) 409-2000

Not Applicable
______________________________________________
Former name or former address, if changed since last report

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

[  ]  Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
[  ]  Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
[  ]  Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
[  ]  Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

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Item 5.07 Submission of Matters to a Vote of Security Holders.

Ladenburg Thalmann Financial Services Inc. held its 2013 annual meeting of shareholders on May 9, 2013. Listed below are the matters voted upon and the final results of such voting:

1. Our shareholders elected each of the individuals nominated for election for a one-year term and until their successors are elected and qualified as follows:

                         
Name   For   Authority Withheld   Broker Non-Votes
Henry C. Beinstein
    128,968,262       7,728,392       30,335,359  
Dr. Phillip Frost
    120,722,933       15,973,721       30,335,359  
Brian S. Genson
    129,218,619       7,478,035       30,335,359  
Saul Gilinski
    129,469,829       7,226,825       30,335,359  
Dmitry Kolosov
    129,495,571       7,201,083       30,335,359  
Dr. Richard M. Krasno
    129,058,113       7,638,541       30,335,359  
Richard J. Lampen
    129,384,278       7,312,376       30,335,359  
Howard M. Lorber
    120,681,112       16,015,542       30,335,359  
Jeffrey S. Podell
    129,485,321       7,211,333       30,335,359  
Richard J. Rosenstock
    129,335,986       7,360,668       30,335,359  
Jacqueline M. Simkin
    129,103,554       7,593,100       30,335,359  
Mark Zeitchick
    129,356,236       7,340,418       30,335,359  

2. Our shareholders approved, on an advisory basis, the proposal for executive compensation as follows:

                         
For   Against   Abstain   Broker Non-Votes
126,837,484
    1,941,781       7,917,389       30,335,359  

3. Our shareholders approved an amendment to our Articles of Incorporation to increase the number of shares of common stock authorized from 400,000,000 to 600,000,000 as follows:

                     
For   Against   Abstain   Broker Non-Votes
155,583,626
    4,995,873       6,452,514     N/A

A copy of the Articles of Amendment to the Articles of Incorporation, as filed with the Secretary of State of the State of Florida on May 9, 2013, is attached hereto as Exhibit 3.1 and incorporated herein by reference.

4. Our shareholders approved an amendment to our Articles of Incorporation to increase the number of shares of preferred stock authorized from 2,000,000 to 25,000,000 as follows:

                         
For   Against   Abstain   Broker Non-Votes
112,589,970
    18,335,201       5,771,483       30,335,359  

A copy of the Articles of Amendment to the Articles of Incorporation, as filed with the Secretary of State of the State of Florida on May 9, 2013, is attached hereto as Exhibit 3.1 and incorporated herein by reference.

5. Our shareholders ratified the selection of EisnerAmper LLP as our independent registered public accounting firm for 2013 as follows:

                     
For   Against   Abstain   Broker Non-Votes
159,934,891
    1,523,271       5,573,851     N/A

Item 9.01 Financial Statements and Exhibits

(d) Exhibits.

         
Exhibit  
Description
       
 
  3.1    
Articles of Amendment to the Articles of Incorporation, as amended.

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SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

         
    Ladenburg Thalmann Financial Services Inc.
          
May 15, 2013   By:   /s/ Brett H. Kaufman
       
        Name: Brett H. Kaufman
        Title: Senior Vice President and Chief Financial Officer

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Exhibit Index


     
Exhibit No.   Description
 
3.1
  Articles of Amendment to the Articles of Incorporation, as amended.

ARTICLES OF AMENDMENT
TO
ARTICLES OF INCORPORATION
OF
LADENBURG THALMANN FINANCIAL SERVICES INC.
 

Pursuant to Section 607.1006 of the
Florida Business Corporation Act
 

The undersigned Senior Vice President –Business and Legal Affairs of Ladenburg Thalmann Financial Services Inc. (“Corporation”), DOES HEREBY CERTIFY:

      FIRST : The name of the Corporation is Ladenburg Thalmann Financial Services Inc.

      SECOND : The Articles of Incorporation of the Corporation is hereby amended by deleting the first sentence of Article III in its entirety and by substituting the following new first sentence in lieu thereof:

      “The aggregate number of shares of which of the Corporation shall have authority to issue is six hundred twenty-five million (625,000,000) shares, of which six hundred million (600,000,000) shares shall be “Common Stock,” par value $.0001 per share, and of which twenty-five million (25,000,000) shares shall be “Preferred Stock,” par value $.0001 per share.”

      THIRD : The foregoing Amendment to the Articles of Incorporation was duly approved by the Corporation’s Board of Directors on March 28, 2013 in accordance with the provisions of Section 607.1003 of the Florida Business Corporation Act and thereafter was duly adopted by the Corporation’s shareholders by a sufficient number of votes cast for the approval of the amendment at a shareholders meeting on May 9, 2013 in accordance with the provisions of Sections 607.1003 and 607.0725 of the Florida Business Corporation Act.

     IN WITNESS WHEREOF, I have executed this Certificate of Amendment this 9 th day of May, 2013.

                 
   
 
           
     
   
    /s/ Brian L. Heller  
   
     
   
    Brian L. Heller 
   
    Senior Vice President- Business and Legal Affairs