

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 RIA Compliance Costs
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…








