How Advisors Can (And Should) Face Employment Disputes
FINRA Disputes & U5 Terminations FINRA Expungement & Arbitration

How Advisors Can (And Should) Face Employment Disputes

Employment disputes span a wide range of legal issues, including breach of contract, wrongful termination, fraud, defamation, discrimination, and more.  The vast majority of rep agreements dictate that disputes that...
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What Triggers a FINRA Inquiry?
FINRA Disputes & U5 Terminations FINRA Expungement & Arbitration FINRA, SEC, State & CFP Board Enforcement IRS Tax Liens & Disclosures

What Triggers a FINRA Inquiry?

FINRA inquiries are primarily triggered by disclosures on the Forms U4 and U5. Many of these disclosures stem from allegations made by a customer or broker-dealer. Some disclosures are financial,...
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RIA Succession Planning
Mergers & Acquisitions Succession Planning

RIA Succession Planning

A recent study indicated that less than one-third of advisors age 55 and older have not identified a successor for their practice, and more than half of advisors over age...
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Compliance Solutions For Small RIAs
FINRA, SEC, State & CFP Board Enforcement RIA Compliance

Compliance Solutions For Small RIAs

Most RIAs start out as an exercise in independence — advisors want less bureaucracy, more payout, and better choices for their clients. Starting one’s own RIA becomes the solution, but...
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FINRA Limits Advisors’ Right to Arbitration & Disclosure Expungement
FINRA Disputes & U5 Terminations FINRA Expungement & Arbitration FINRA, SEC, State & CFP Board Enforcement

FINRA Limits Advisors’ Right to Arbitration & Disclosure Expungement

FINRA continues to limit advisors’ right to be heard regarding their role in customer disclosures published to their CRD and BrokerCheck records. Broker-dealers are required to report any customer dispute to...
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FINRA Penalizes Advisors Who Fail To Disclose IRS Tax Liens
FINRA Expungement & Arbitration IRS Tax Liens & Disclosures

FINRA Penalizes Advisors Who Fail To Disclose IRS Tax Liens

Now that the IRS and state taxing authorities no longer report tax liens to the credit agencies, advisors may believe that they’re off the hook. But just because tax debt...
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How to Tackle FINRA’s Rule 8210
FINRA, SEC, State & CFP Board Enforcement

How to Tackle FINRA’s Rule 8210

If you spend the entirety of your career as a financial advisor, chances are you’re going to be hit with the dreaded FINRA inquiry, in the form of a Rule...
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Customer Disputes Reporting & Options For Seeking Expungement
FINRA Disputes & U5 Terminations FINRA Expungement & Arbitration FINRA, SEC, State & CFP Board Enforcement

Customer Disputes Reporting & Options For Seeking Expungement

When a customer makes a complaint to a FINRA-registered firm or representative, FINRA rules dictate that the complaint be recorded in its Central Registration Depository (CRD) system as a customer...
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Why you should fight your Form U5 termination
FINRA Disputes & U5 Terminations FINRA Expungement & Arbitration FINRA, SEC, State & CFP Board Enforcement Mergers & Acquisitions

Why you should fight your Form U5 termination

With the current hyper-vigilant compliance culture permeating FINRA member firms, the odds of being terminated and having a blemish on your U5 are ever-increasing. The best move you can make...
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When Should You Sell Your Investment Advisory Firm?
Mergers & Acquisitions Succession Planning

When Should You Sell Your Investment Advisory Firm?

Would you put a for sale sign in front of your house prior to having an idea of what you could get for it, without making improvements to enhance value...
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Compliance Remains Biggest Concern for Registered Investment Advisors
FINRA, SEC, State & CFP Board Enforcement RIA Compliance

Compliance Remains Biggest Concern for Registered Investment Advisors

You've probably noticed that the Registered Investment Advisor (RIA) channel is experiencing record-breaking growth. Like you, more and more advisors are realizing that RIAs offer the best of both worlds: happier...
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How Will FINRA Rule 4111 Affect Financial Advisors?
FINRA Disputes & U5 Terminations FINRA Expungement & Arbitration FINRA, SEC, State & CFP Board Enforcement

How Will FINRA Rule 4111 Affect Financial Advisors?

Have you ever heard of Rule 4111? Unless you’re an officer at your firm, it’s unlikely that you have. As AdvisorLaw exclusively represents individual financial advisors, we typically have little...
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CFP Board’s Reporting Standards Impact Advisors with Federal Tax Lien Notices
FINRA Expungement & Arbitration FINRA, SEC, State & CFP Board Enforcement IRS Tax Liens & Disclosures

CFP Board’s Reporting Standards Impact Advisors with Federal Tax Lien Notices

CFP® professionals have long been subject to a litany of requirements. The new reporting standard, set forth in the CFP Board’s Code of Ethics and Standards of Conduct, expands the...
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Advisors Must File Annual Amendments to Form ADV by March 31
RIA Compliance

Advisors Must File Annual Amendments to Form ADV by March 31

It’s that time of year again! If your RIA’s fiscal year ended on Dec 31st, 2020, your Form ADV and annual filings are due March 31st, 2021. If little has...
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As Market Grows, Retiring Advisors Fail To Plan Successions
Mergers & Acquisitions RIA Compliance

As Market Grows, Retiring Advisors Fail To Plan Successions

By 2030, Gen X and millennials are expected to inherit more than $23 trillion from prior generations. By 2045, a whopping $68 trillion will have been passed down. As the...
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FINRA Enforcement: Intimidation Tactics Against Advisors
FINRA, SEC, State & CFP Board Enforcement RIA Compliance

FINRA Enforcement: Intimidation Tactics Against Advisors

Imagine you’re driving down the highway, when you’re suddenly pulled over and accused of speeding. Do you fight the ticket or pay it? We all know it’s the police's sworn...
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SBA’s Additional Coronavirus Relief Creates Opportunities for Advisors
Lending Opportunities Starting your own RIA

SBA’s Additional Coronavirus Relief Creates Opportunities for Advisors

Between now and September 30th, all qualifying SBA (7a) loans will: - Be paid directly by the SBA, 3 months of principal and interest, up to $9k per month. - Have...
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Financial Advisors 2021 Marketing Landscape
FINRA Expungement & Arbitration FINRA, SEC, State & CFP Board Enforcement RIA Compliance Starting your own RIA

Financial Advisors 2021 Marketing Landscape

Change is inevitable, especially in the world of marketing. Time-tested marketing approaches like networking, cold calling, seminars, and door knocking seem to still be working, but only to a certain...
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RIAs Need More Than a Compliance Specialist
RIA Compliance

RIAs Need More Than a Compliance Specialist

Now is the time to rethink your RIA firm’s compliance and regulatory support. As we regain our footing in 2021, are you confident that your firm’s filings are in order? ...
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Did you know that IRS liens don’t have to be paid off to qualify for removal from your BrokerCheck and CRD record?
FINRA Expungement & Arbitration FINRA, SEC, State & CFP Board Enforcement IRS Tax Liens & Disclosures RIA Compliance

Did you know that IRS liens don’t have to be paid off to qualify for removal from your BrokerCheck and CRD record?

As we begin the new year and officially close the book on 2020, it’s more important than ever to take control of your online presence and protect your good name....
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