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.
The Hidden Multiplier: How Clearing Your Record Today Maximizes Your RIA’s Exit Value
Maximize your RIA practice valuation before an exit. Learn how AdvisorLaw removes meritless IAPD & BrokerCheck disclosures to increase your firm's enterprise value.
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FINRA Panel Clears Baseless Advisory Fee Dispute For Florida Financial Advisor
A Florida financial advisor successfully cleared a meritless advisory fee dispute from his record. A FINRA Panel ruled the claim false, confirming that industry-standard fees were fully justified by his...
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RIA Partnership Disputes: The Critical Risk of CRD/IARD Super Account Administrator (SAA) Control
Navigate the risks of an RIA partnership dispute. Learn how 50/50 structures can lead to IARD/CRD deadlocks and how AdvisorLaw provides the specialized counsel needed to manage regulatory transitions.
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FINRA Panel Grants Triple Expungement For New York Financial Advisor
A New York financial advisor successfully cleared three meritless complaints from his record. A FINRA Panel ruled the allegations “factually impossible” as the advisor did not even select the investments...
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CE Credit Course: Outsourced CCO (OCCO) Services for RIAs
Is your CCO a bottleneck? Watch AdvisorLaw’s Dave Reichert and Janet Messer break down the benefits of Outsourced CCO (OCCO) services for RIAs. Earn CE credit now.
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The New Standard Of Trust: Mastering Your Reputation In The AI-First Era
Master your reputation in the AI-first era. Learn how AI tools like ChatGPT scrape BrokerCheck and IAPD records, and how AdvisorLaw’s expert expungement services help financial advisors clear meritless disclosures...
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FINRA Panel Clears Erroneous Annuity Allegation For Seasoned Colorado Financial Advisor
A seasoned Colorado financial advisor successfully cleared an erroneous annuity beneficiary claim from his record. A FINRA Panel ruled the customer allegations were “clearly erroneous,” restoring his 23-year career integrity.
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Do you qualify as an Exempt Reporting Adviser (ERA)?
Does your firm qualify as an Exempt Reporting Adviser (ERA)? Managing a private fund doesn’t guarantee an exemption from SEC or state registration. Explore the critical factors—from AUM thresholds to...
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FINRA Arbitrator Clears Termination Disclosure For Arizona Wealth Advisor
An Arizona wealth advisor successfully cleared a misleading “discharge” from his Form U5. A FINRA arbitrator ruled the termination reason be changed to “Voluntary,” restoring the advisor’s professional record.
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FINRA Panel Clears Unfounded Mismanagement Allegation For Georgia Financial Advisor
A Georgia financial advisor successfully clears her record of a meritless $1.5 million mismanagement claim. A FINRA Panel ruled the allegations factually false, recommending full expungement.
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Is your CRM vendor an SEC compliance liability? Understanding Third-Party Risk
Is your CRM or cloud provider an SEC liability? Learn the 4 pillars of RIA Vendor Risk Management (VRM) to satisfy Regulation S-P and 2026 SEC examination priorities.
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FINRA Arbitrators Expunge Unsuitability Complaints From Florida Financial Planner’s Record
A veteran Florida financial planner wins a unanimous FINRA expungement. The Panel ruled that 2007 and 2010 unsuitability complaints were "factually impossible" and that the clients' allegations were "not credible"...
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AdvisorLaw Wins $295K For Ameriprise Advisor In Succession Contract Battle
AdvisorLaw wins $295K for a veteran Ameriprise advisor in a high-stakes sunset deal breach. Don't let a partner renege on your life's work—learn how Austin Davis, J.D., secures succession payouts...
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FINRA Panel Grants Expungement Of Trade Delay Allegation For Virginia Advisor
A FINRA panel has cleared a Virginia financial advisor's record of a "trade delay" allegation. The ruling found that NYLife Securities' failure to communicate internal policy changes caused the delay,...
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AdvisorLaw Wins Unanimous FINRA Expungement for False Liquidity Allegations
A FINRA panel has ordered the expungement of a meritless 2021 customer dispute against a Pennsylvania financial advisor. Represented by AdvisorLaw, the advisor proved that allegations of annuity misrepresentation were...
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FINRA Panel Grants Advisor Expungement Tied to Covid-Impacted Investment
California advisor represented by HLBS Law wins expungement of three disputes tied to a COVID-impacted student housing DST. FINRA Panel rules the claims "false," citing the advisor's extensive due diligence...
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Did your RIA representatives miss the new IAR CE deadline?
Is your IAR registration at risk? Many RIAs are entering 2026 facing "CE Inactive" status due to missed state deadlines. Learn how to bridge the compliance gap, complete your 12-hour...
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FINRA Panel Grants Customer Dispute Expungement For Maryland Advisor
Maryland advisor with 30 years of experience wins unanimous FINRA expungement of a meritless 2015 customer dispute. The Panel ruled the claims "false and clearly erroneous" regarding an equipment leasing...
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FINRA Panel Grants Expungements Of Groundless Forgery Allegation
A financial advisor in Minnesota with a 24-year unblemished career faced a single, unwarranted customer complaint stemming from post-purchase remorse. The 2024 dispute falsely accused him of forging a signature...
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5 Areas Regulators Are Scrutinizing This ADV Season
The March 31, 2026, Form ADV filing deadline is a critical moment of heightened regulatory scrutiny for registered investment advisers (RIAs). Regulators, including the SEC and state authorities, use this...
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