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.
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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FINRA Panel Awards Expungement, Erasing Meritless Complaint Over Unsolicited Outside Investment
A FINRA panel grants full expungement to a Morgan Stanley advisor after proving a client's claim regarding an 'outside real estate investment' was factually impossible. See how HLBS Law cleared...
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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...
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Fidelity Manager Challenges “Misleading” U5 Disclosure Over System Credential Sharing
AdvisorLaw files for FINRA expungement on behalf of a former Fidelity manager following a misleading Form U5 entry. Learn how 'permitted to resign' disclosures regarding credential sharing can be challenged...
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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...
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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...
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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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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,"...
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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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