Big Fines For Bad Records: How The SEC’s Recent Action Affects RIAs
SEC & State | RIAs & IARs

Big Fines For Bad Records: How The SEC’s Recent Action Affects RIAs

The SEC's recent charges against 16 firms for recordkeeping failures serve as a stark warning for RIAs. Avoid costly penalties by understanding the key areas of non-compliance and taking proactive...
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Financial Advisor Exodus: 2024’s Biggest Trends & Your Strategic Move
Financial Advisor Transition

Financial Advisor Exodus: 2024’s Biggest Trends & Your Strategic Move

As we analyze the intricate web of trends shaping the financial advisory landscape in 2024, the exodus of billion-dollar teams from major wirehouses emerges as a resounding theme in financial...
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Staying Compliant: Colorado’s 2024 Investment Adviser Examination Priorities
RIA Compliance SEC & State | RIAs & IARs

Staying Compliant: Colorado’s 2024 Investment Adviser Examination Priorities

Colorado investment advisors, take action now! 2024 exam priorities released, impacting suitability, continuing education, recordkeeping & more. Get compliant & avoid risks with AdvisorLaw.
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Demystifying The Maze: Your Guide To RIA Compliance
RIA Compliance

Demystifying The Maze: Your Guide To RIA Compliance

The road to a thriving RIA firm isn't a straight and flat one that’s paved with roses — it's a bumpy labyrinth of regulations and ever-evolving compliance requirements. This guide...
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Unlock Access To Industry Awards: How Negative Disclosure Expungement Can Propel Your Financial Advisory Career
FINRA Expungement & Arbitration FINRA, SEC, State & CFP Board Enforcement

Unlock Access To Industry Awards: How Negative Disclosure Expungement Can Propel Your Financial Advisory Career

In the fiercely competitive world of financial advising, a pristine reputation is your ticket to success. But even the most ethical and skilled advisors can find their careers hampered by...
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Ohio Advisor Wins Expungement Of Four Disclosures On His Public Record
Case Results & Wins

Ohio Advisor Wins Expungement Of Four Disclosures On His Public Record

After more than 30 years in the financial services industry, this Ohio-based advisor was ready to try his chance at expunging the only marks on his public record — four...
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New Mexico Advisor Wins Expungement Of NYSE Customer Dispute Filing
Case Results & Wins

New Mexico Advisor Wins Expungement Of NYSE Customer Dispute Filing

An Albuquerque-based financial advisor approaching 30 years in the industry had a single customer dispute disclosure on his records. The dispute was lodged in 2020 and denied by the firm,...
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Navigating Uncertainty: Key Considerations For Wealth Manager Exit Planning
Mergers & Acquisitions Selling RIA Succession Planning

Navigating Uncertainty: Key Considerations For Wealth Manager Exit Planning

As a wealth manager, ensuring the long-term well-being of your clients is paramount. But what about the future of your own business? A well-crafted RIA buy-sell agreement is vital to...
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Virginia Advisor Wins Expungement Of Covid-Related Claim From All Records
Case Results & Wins

Virginia Advisor Wins Expungement Of Covid-Related Claim From All Records

This Virginia-based financial advisor had made it 15 years into his career with a single customer dispute when he was hit with a second dispute in 2020 that resulted from...
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Form U5 Terminations: What To Expect & How To Protect Your Career
FINRA Disputes & U5 Terminations

Form U5 Terminations: What To Expect & How To Protect Your Career

When a broker faces termination, it's not just the end of one chapter. It's the beginning of another — one that may involve Form U5 filings. These disclosures play a...
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Southern-California Advisor Wins Expungement Of Internal Review Disclosure
Case Results & Wins

Southern-California Advisor Wins Expungement Of Internal Review Disclosure

In 2015, about 11 years into his career in financial services, this Southern-California-based advisor resigned from his broker-dealer firm and was subsequently sued by the firm. The firm then published...
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AdvisorLaw’s RIA Formation Week is LIVE! ?
RIA Setup & Registration Starting your own RIA

AdvisorLaw’s RIA Formation Week is LIVE! ?

Ready to turn your New Year's resolution into reality by launching your very own RIA firm? Don't miss AdvisorLaw's RIA Formation Week — taking place from January 15th to January...
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Georgia Advisor’s Record Restored With Settled Customer Dispute Expungement
Case Results & Wins

Georgia Advisor’s Record Restored With Settled Customer Dispute Expungement

In 2021, this Georgia-based advisor was closing in on 20 years in the industry with a perfectly-clean record, when he was hit with a customer dispute alleging unsuitability and misrepresentation....
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Father/Son Team Wins Termination Disclosure Expungement & Over $500,000 Award In FINRA Arbitration
Case Results & Wins

Father/Son Team Wins Termination Disclosure Expungement & Over $500,000 Award In FINRA Arbitration

Two registered reps in Pennsylvania — a father and son — were both terminated from the firm, on the same date, for the same alleged reason. Each had been in...
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Deciphering The SEC’s Rule 204-2 For RIA Books & Records Requirements
RIA Compliance

Deciphering The SEC’s Rule 204-2 For RIA Books & Records Requirements

The Securities and Exchange Commission (SEC) Rule 204-2 mandates that registered investment adviser (RIA) firms' books and records should be true, accurate, and current — whether they are stacked in...
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The Rise Of Independent Registered Investment Advisers: A Shift Away From FINRA
RIA Setup & Registration

The Rise Of Independent Registered Investment Advisers: A Shift Away From FINRA

In recent years, a significant trend has emerged in the world of financial advising. An increasing number of financial advisors are making the bold decision to part ways with their...
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Strategically Selling A Financial Advisory Practice: Your Guide To A Successful Transition
Mergers & Acquisitions Selling RIA Succession Planning Valuations

Strategically Selling A Financial Advisory Practice: Your Guide To A Successful Transition

In today's financial advisory landscape, the prospect of selling a book of business as a financial advisor may seem promising due to the high number of potential buyers in the...
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43-Year Veteran Advisor In Colorado Restores Impeccable Records With Expungement
Case Results & Wins

43-Year Veteran Advisor In Colorado Restores Impeccable Records With Expungement

An advisor in Colorado with a 43-year career had an impeccable record, aside from one denied customer dispute from 2012. He hired HLBS Law to seek expungement of the disclosure...
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Arizona-Based IAR’s Records Once Again Perfect After Customer Dispute Expungement
Case Results & Wins

Arizona-Based IAR’s Records Once Again Perfect After Customer Dispute Expungement

This Arizona-based investment adviser representative (IAR) had a disclosure-free record since early 2012 until a settled customer dispute hit his records in mid-2020. Eager to get his perfect records back,...
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Dual Registration Dilemma: Navigating FINRA & SEC Regulatory Shifts
RIA Setup & Registration Starting your own RIA

Dual Registration Dilemma: Navigating FINRA & SEC Regulatory Shifts

Over the past decades, the financial advisory landscape has been experiencing a significant transformation with the rise of hybrid advisor-brokers who are registered with both the Securities and Exchange Commission...
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