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.
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...
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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...
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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,...
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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.
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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,...
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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...
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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...
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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...
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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...
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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...
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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.
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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...
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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...
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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.
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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...
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Launch Your Independent RIA with Trusted Support
Launch your independent RIA with confidence. Get expert support for RIA registration, smooth advisor transition, and business agreement review to minimize risk and ensure regulatory compliance.
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Texas Advisor Clears BrokerCheck of Unsuitable Claim
With 16 years’ experience in the industry, this financial advisor (FA) in Austin, Texas faced a single, unwarranted disclosure on his BrokerCheck® and CRD profiles from a 2020 client complaint...
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Advisor Clears Record of an Old Annuity Claim
A South Carolina financial advisor successfully cleared a baseless 2011 customer dispute from his BrokerCheck record with a FINRA expungement award.
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The High Cost of RIA Compliance Oversight: A Cautionary Tale
In the world of financial advising, trust and regulatory compliance are non-negotiable. Yet even with the best intentions, a single oversight can lead to significant risk.
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CFP Board vs. BrokerCheck: A Battle for Advisor Fairness
Has an unproven BrokerCheck claim hurt your reputation? The CFP Board agrees the data is flawed. Discover how to challenge and remove misleading disclosures.
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