

Is your Form ADV Part 2 still compliant with the fiduciary duty?
Today’s registered investment advisor (RIA) operates under a constantly intensifying spotlight. At the heart of this scrutiny is the fiduciary…
Michelle Atlas-Quinn, J.D.

Three Disputes Cleared From Louisiana Rep’s Records
A registered representative (RR) in Louisiana pursued the removal of three inaccurate customer complaint disclosures from his CRD and BrokerCheck…
Doc Kennedy, MBA, J.D.

The Awkward Truth: Why Multi-Owner RIAs Need Outsourced CCO
For multi-owner RIAs, stop the CCO awkwardness. Our Outsourced CCO service provides neutral, expert oversight, reviewing partner compliance without compromising…
Michelle Atlas-Quinn, J.D.

FINRA Arbitrator Clears South Carolina Advisor’s Form U5 Termination Entry
A South Carolina-based financial advisor (FA) sought to erase a misleading Form U5 termination disclosure from her CRD and BrokerCheck…
Doc Kennedy, MBA, J.D.

The Iceberg Of Compliance Costs: What Ineffective RIA Compliance Is Really Costing You
Don’t let compliance oversights sink your firm. Discover the hidden costs of ineffective RIA compliance—like lost productivity, client attrition, and…
Michelle Atlas-Quinn, J.D.

Illinois Advisor Secures Expungement of Customer Dispute in FINRA Arbitration
A registered representative based in Park Ridge, Illinois pursued FINRA arbitration to eliminate a baseless customer complaint from her Central…








