

AdvisorLaw’s Defense Division: Safeguarding Careers, Shielding Reputations
Facing FINRA, SEC, or customer disputes? AdvisorLaw is your strategic defense partner. Our dedicated securities attorneys specialize exclusively in BrokerCheck…
Doc Kennedy, MBA, J.D.

Navigating an RIA Merger or Acquisition: The Complete Checklist for Buyers & Sellers
Oct. 23, 2025 AdvisorLaw’s Defense Division: Safeguarding Careers, Shielding ReputationsOct. 16, 2025 Navigating an RIA Merger or Acquisition: The Complete…
Josh Barber

Introducing OCCO-Lite: Compliance Without The Headache
Oct. 23, 2025 AdvisorLaw’s Defense Division: Safeguarding Careers, Shielding ReputationsOct. 16, 2025 Navigating an RIA Merger or Acquisition: The Complete…
Michelle Atlas-Quinn, J.D.

State-Registered RIAs: Navigating NASAA’s Proposed Marketing Rule Changes
For years, state-registered investment advisers (RIAs) have faced a unique challenge: advertising rules that put them at a competitive disadvantage…
Michelle Atlas-Quinn, J.D.

Launch Your Independent RIA with Trusted Regulatory & Business Support
Launch your independent RIA with confidence. Get expert support for RIA registration, smooth advisor transition, and business agreement review to…
Michelle Atlas-Quinn, J.D.

FINRA Arbitration: How One Advisor’s Fight Cleared His Record of an Old Annuity Claim
Oct. 23, 2025 AdvisorLaw’s Defense Division: Safeguarding Careers, Shielding ReputationsOct. 16, 2025 Navigating an RIA Merger or Acquisition: The Complete…








