Financial advisors face a major decision when it comes to their professional future: whether to remain affiliated with their wirehouse or break away and start their own registered investment advisor...

The Securities and Exchange Commission (SEC) has decided to reopen the public comment period for the cybersecurity rule it initially proposed last year. This decision came on the same day...

The longer your career as a financial advisor, the higher your chances of being hit with the dreaded FINRA inquiry. That’s why it’s important to know exactly what will trigger...

The Financial Industry Regulatory Authority (FINRA) announced that effective June 1st, 2023, firms with a history of misconduct will be labeled with a "restricted" designation on BrokerCheck. This marker will...

In the five-year period between 1997 and 2002, this 35-plus-year veteran advisor in Boca Raton, Florida amassed five customer dispute disclosures on his CRD and public BrokerCheck records. After living...

Just five years into his career as a financial services professional, this advisor was terminated and hit with a disclosure alleging a violation of the firm’s expense policy. Wanting the...

Over the last five years, the number of registered investment advisors has significantly increased by more than 20%, causing the SEC to take notice. As a result, the SEC's exam...

AdvisorLaw is pleased to announce a time-sensitive transition of a $650K-producing client of ours, to a national firm. After nearly two decades of experience in the industry, this advisor sensed...

As a registered investment advisor (RIA) or RIA firm, it is crucial to prioritize compliance regulations to maintain your license and protect your clients. Staying up to date with the...

A 41-year industry veteran had a stellar public record — with the exception of a 2008 customer dispute. The claim had arisen out of auction rate security illiquidity in 2008....

It is common knowledge in the financial industry that brokers who work for independent broker-dealers (IBDs) are independent contractors, meaning that they are not employees of the firm. Rather, they...

This Chicago-based advisor’s career spans more than 35 years, and he had a perfect record, aside from one settled dispute from 2014. He wanted to take his shot at expunging...

Response by: President & Founder, Doc Kennedy, J.D., MBA *As of Thursday, April 27th, 2023, AdvisorLaw will no longer be filing customer dispute expungement cases with FINRA* AdvisorLaw’s expungement services...

In 2021, after two decades in the industry, this Oregon advisor was hit with two customer disputes alleging unsuitability. Both had been settled for relatively-nominal amounts, but the advisor wanted...

Did you know that there are more than 25 different types of disclosures that FINRA uses to mark up BrokerCheck records? This week, on "Ask An AdvisorLaw Expert," we talk...

As he approached 30 years of experience in the financial services industry, this Houston-based advisor was blindsided by termination and a corresponding disclosure with allegations in 2021. Seeking to restore...

The rise of messaging apps has revolutionized the way we communicate, but their use in the financial sector has become a major compliance challenge for brokerage and advisory firms alike. ...

AdvisorLaw is pleased to announce the transition of a $1 million-producing, husband-and-wife team, to a national firm. The independent firm veterans, who have over 50 years of experience combined, first...

More than 30 years into his career in the financial services industry, this Virginia-based Advisor had a stellar record, aside from two denied customer disputes that had hit his records...

We are excited to announce the release of our new Nexus Enterprise Platform demonstration! Nexus is specifically designed to help registered investment advisors (RIAs) to navigate the ever-increasing complexity of...