

Regulatory Expectations In The Digital Age
The financial world thrives on connection â it’s built on conversations, insights shared, and relationships nurtured. But in today’s hyper-connected…
Michelle Atlas-Quinn, J.D.

Illinois Advisor Clears Record Of Misleading Termination Allegation
In January 2013, an investment adviser representative (IAR) in Edwardsville, Illinois, faced a misleading Form U5 termination entry on his…
Doc Kennedy, MBA, J.D.

SEC Signals Potential Shift In State Advisor AUM Threshold
In 2022, a dedicated New York-based financial advisor (FA) with an unblemished, six-year career faced a damaging Form U5 termination…
Michelle Atlas-Quinn, J.D.

Navigating The SEC’s Marketing Rule: Clarity & Caution For RIAs
The world of investment advisory marketing just got a little clearer, thanks to the Securities and Exchange Commission’s (SEC) recent…
Michelle Atlas-Quinn, J.D.

Michigan Advisor Clears Records Of False Forgery Allegation
A Michigan financial advisor successfully cleared his BrokerCheckÂŽ and CRD records, expunging a false forgery allegation on a fixed-index annuity…
Doc Kennedy, MBA, J.D.

Window For Expunging Settled Investor Complaints Closes October 2025
The rules around FINRA expungement have changed â and the clock is ticking for certain disclosures. FINRAâs updated rules set…