

Part 2: Strategies for Risk Mitigation & Ongoing Reviews
In Part 1, we examined the complexities of SEC supervisory requirements and the risks faced by small RIAs. This second…
Michelle Atlas-Quinn, J.D.

Part 1: The Complexities Of RIA Supervision
Navigating RIA supervision? Discover the complex challenges small firms face, SEC requirements, and the risks of inadequate compliance in Part…
Michelle Atlas-Quinn, J.D.

Misleading Termination Expunged From Pennsylvania Advisorâs Record
Financial advisor’s misleading Edward Jones termination expunged from FINRA CRD & BrokerCheck. Learn how to clear false U5 disclosures &…
Doc Kennedy, MBA, J.D.

Now Offering: Private Fund Formation & Ongoing Compliance Services
AdvisorLaw is excited to announce a comprehensive new service line tailored specifically for financial professionals looking to launch and manage…
Michelle Atlas-Quinn, J.D.

FINRA Grants Expungement Of Advisorâs Misleading Termination
A Connecticut financial advisor successfully secured expungement of a false 2024 termination disclosure related to “underperformance” from his FINRA CRD…
Doc Kennedy, MBA, J.D.

Unlock RIA Growth: How Compliance Automation Drives Efficiency
In the complex world of RIAs, true compliance is essential for building trust and running a successful business. However, relying…