Navigate the complexities of financial advising with AdvisorLaw's Industry Insights. Our experts provide actionable analysis on critical areas impacting your practice, including the latest FINRA and SEC/state regulations for brokers, RIAs, and IARs, the nuances of dual registration, strategic insights into Mergers & Acquisitions, evolving enforcement trends, practical regulatory compliance strategies, and effective succession planning. Stay informed, compliant, and positioned for growth with AdvisorLaw's perspectives.
Key Takeaways From SEC 2026 Examination Priorities
The SEC’s Division of Examinations has released its priorities for fiscal year 2026, signaling a clear shift in focus for registered investment advisers (RIAs). The new agenda emphasizes operational effectiveness...
Read More
FINRA Awards Expungement Of Misleading Termination For Florida FA
A committed financial advisor in Parkland, Florida with a career spanning over 15 years faced an unwarranted blemish on his otherwise-impeccable record, due to a delayed and distortive Form U5...
Read More
FINRA Arbitration Panel Awards Expungement Of False Unsuitability Claim
A dedicated financial advisor in Honolulu, Hawaii with over 17 years of unblemished service in the securities industry pursued FINRA arbitration to erase a baseless 2021 customer dispute from his...
Read More
Have You Completed Your Annual SEC Review (Rule 206(4)-7)?
The annual compliance review (Rule 206(4)-7) is the single most critical task for any registered investment adviser (RIA). This is not merely a "check-the-box" exercise—it is your firm’s primary shield...
Read More
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 duty, which mandates that you act solely in your client’s...
Read More
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 records. The entries stemmed from unfounded allegations of unauthorized transactions,...
Read More
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 professional relationships or risking regulatory gaps.
Read More
CE Course: Insights for Advisors Considering Succession, Sale, or Growth through M&A
We're excited to announce that Josh Barber from AdvisorLaw was recently featured on the Financial Experts Network (FEN) for a high-value CE course: Insights for Financial Advisors Considering Succession, Sale,...
Read More
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 records. The “allegations” referenced internal reviews of electronic messaging and...
Read More
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 firm devaluation—and learn why proactive compliance is your most crucial...
Read More
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 Registration Depository (CRD) and BrokerCheck® records. The disclosure, reported in...
Read More
Dual-Registrants FINRA | Brokers FINRA Disputes & U5 Terminations FINRA Expungement & Arbitration SEC & State | RIAs & IARs
AdvisorLaw’s Defense Division
Facing FINRA, SEC, or customer disputes? AdvisorLaw is your strategic defense partner. Our dedicated securities attorneys specialize exclusively in BrokerCheck expungement, U4/U5 issues, regulatory investigations, and litigation to safeguard your...
Read More
Colorado Springs Advisor Wins U5 Termination Expungement
A financial advisor from Colorado Springs, Colorado sought to remove a defamatory and misleading termination entry from her Central Registration Depository (CRD) and BrokerCheck® records. The disclosure falsely stated she...
Read More
FINRA Grants Expungement Of 2018 Discharge For New Jersey Advisor
A 30-year New Jersey veteran advisor successfully erases a 2018 "discharge" from his record. Learn how HLBS Law secured a FINRA award to change a defamatory U5 termination to "Voluntary,"...
Read More
The Complete Checklist for an RIA Merger or Acquisition
Accelerate growth by merging or acquiring an RIA. Our comprehensive guide covers the 5 critical M&A phases: from LOI drafting and due diligence to client transition and regulatory compliance.
Read More
FINRA Panel Awards Expungement Of San Antonio Advisor’s Customer Dispute
A dedicated financial advisor (FA) in San Antonio, Texas fought to remove a baseless customer complaint from his Central Registration Depository (CRD) and BrokerCheck® records. The complaint, lodged 11 years...
Read More
FINRA Grants Expungement of Unsuitability Claims for West Virginia Advisor
See how a veteran advisor used FINRA Rule 2080 to expunge a false $750k unsuitability claim. Discover the legal strategy that restored a 37-year spotless record after a unanimous arbitration...
Read More
Introducing OCCO-Lite: Compliance Without The Headache
Tired of compliance checklists? Meet OCCO-Lite, AdvisorLaw's new streamlined outsourced CCO service for RIAs. Get dedicated expert support, attorney oversight, and Nexus™ platform access—without the headache or high cost. Focus...
Read More
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 in comparison to their SEC-registered peers.
Read More
BrokerCheck Vindicated: Arizona Advisor Clears Misleading U5 Disclosure
Despite an otherwise-spotless record since 2012, this Arizona-based professional faced a single blemish on his BrokerCheck® and CRD records stemming from a Form U5 termination disclosure filed by his former...
Read More