The world of registered investment advisors (RIAs) is a land of opportunity. But it's also a minefield of regulations. A single misstep can lead to hefty fines, reputational damage, and...

Contact Us Today! Award Date: June 21, 2024Claimant Representative: Chelsea Bauer, J.D., HLBS LawRespondent Firm: Goldman Sachs & Co. LLC Case Objective: This Florida-based investment adviser and former broker has...

The SEC recently held a webinar focused on exam priorities and what advisors can expect during the examination process. Here's a breakdown of the key takeaways for registered investment advisors...

An Illinois-based advisor who began his career in the industry in 1976 had two customer disputes that he wanted expunged from his records. He hired HLBS Law to take advantage...

Are you a financial advisor who’s yearning to break free and build a practice on your terms? Financial advisors are increasingly drawn to the allure of independence. But this path...

The Department of Labor (DOL) has issued yet another new rule set to shake things up for financial professionals who assist investors with their qualified retirement accounts. Here's a breakdown...

This New Jersey-based advisor in the midst of his fourth decade in the financial services industry had a single disclosure on his BrokerCheck record, which was a denied dispute from...

An advisor in Connecticut had two customer disputes from 2002 and 2003 on an otherwise clean record that dated back to 1997. After living with the marks for more than...

As recently reported, new FINRA data reveals a significant drop in expungement requests through its own Dispute Resolution forum, since the implementation of stricter policies in October of last year....

This New Jersey-based advisor had been in the industry for about 24 years with an exemplary track record. But one, denied customer dispute on his records since 2016 indicated otherwise....

The registered investment advisor (RIA) M&A market is undergoing a significant transformation. After a decade of continuous growth, deal volume witnessed a slight dip in 2023. However, industry experts anticipate...

A Santa Monica, California-based advisor entering his 51st year in the industry sought to expunge two denied claims from his CRD and public BrokerCheck records. He hired HLBS Law to...

For decades, noncompete clauses have been a standard part of employment contracts in the financial services industry. These clauses restricted financial professionals' ability to move to competitors, after leaving their...

Approaching his 20th anniversary in the industry, this Minnesota-based advisor had a single customer dispute staining his otherwise spotless records. He hired AdvisorLaw to bring him through FINRA’s Dispute Resolution...

Financial advisors are increasingly finding themselves on the wrong side of defamation claims — thanks to inaccurate information on their Form U5. This form, filed with regulators, details the reasons...

The Securities and Exchange Commission (SEC) is casting a watchful eye on unrecorded communications. Millions in fines have been levied against firms for failing to properly document conversations conducted through...

This Florida-based adviser was living with a sole customer dispute from 2002 on his records. In an effort to restore his records to perfect by the time he reaches 30...

The decision to transition as a financial advisor is a significant one, marked by opportunities for growth and change. However, the process is not without its challenges — particularly when...

In a recent battle at the U.S. Supreme Court, the conservative justices expressed serious reservations about the Securities and Exchange Commission's (SEC) power regarding in-house enforcement proceedings. The issue has...

An advisor in Illinois who began his career in the industry back in 2001 had a sole customer dispute on his CRD and public BrokerCheck records. The claim had been...