Ask An AdLaw Expert: How do I secure lending to acquire a financial practice?
Lending Opportunities Mergers & Acquisitions

Ask An AdLaw Expert: How do I secure lending to acquire a financial practice?

If you’re interested in buying a financial practice but need additional financing to get the ball rolling, there are a number of considerations to take into account. On this week’s...
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Reaching $250 Million In AUM Unlocks More Options For Advisors
RIA Compliance RIA Setup & Registration Starting your own RIA

Reaching $250 Million In AUM Unlocks More Options For Advisors

When an advisor’s assets under management hit $250 million, their options expand from those that were available to them when their AUM fell below that threshold. Along with more options,...
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Form U5 Termination Events
FINRA Disputes & U5 Terminations FINRA Expungement & Arbitration FINRA, SEC, State & CFP Board Enforcement

Form U5 Termination Events

Any time a rep leaves a firm, regardless of the reason, the firm is required to file a Form U5 describing the circumstances under which the rep departed, within 30...
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Ask an AdLaw Expert: Can I form an RIA prior to leaving my current firm?
RIA Compliance RIA Setup & Registration Starting your own RIA

Ask an AdLaw Expert: Can I form an RIA prior to leaving my current firm?

There are a number of important factors that an advisor needs to consider when deciding to leave a firm to form their own RIA. On this week’s Ask An AdLaw...
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What is FINRA Rule 1017(a)(7)?
FINRA Disputes & U5 Terminations FINRA Expungement & Arbitration FINRA, SEC, State & CFP Board Enforcement IRS Tax Liens & Disclosures

What is FINRA Rule 1017(a)(7)?

The effects and consequences of disclosures on advisors’ records have been growing larger and more severe over the past several years. With the implementation of the requirement to provide a...
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P.R. Bond Disputes Cleared From BrokerCheck
FINRA Expungement & Arbitration

P.R. Bond Disputes Cleared From BrokerCheck

Even when advisors are genuinely invested in their customers’ interests and attentive to their customers’ needs, events that are fully outside of advisors’ control can leave them with complaints, disclosures,...
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Ask An AdLaw Expert: Can I be terminated due to an investor complaint?
FINRA Disputes & U5 Terminations FINRA Expungement & Arbitration

Ask An AdLaw Expert: Can I be terminated due to an investor complaint?

"Ask An AdLaw Expert" is a new AdvisorLaw video series where we ask some of our most esteemed colleagues questions commonly asked by financial advisors. In this week’s Ask An...
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Restricted Expungement Processes Are On The Horizon
FINRA Disputes & U5 Terminations FINRA Expungement & Arbitration FINRA, SEC, State & CFP Board Enforcement

Restricted Expungement Processes Are On The Horizon

There are thousands of financial advisors across the US who have had their public image tarnished by a meritless or completely false disclosure that was published on their CRD, BrokerCheck,...
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Form CRS: It’s Mandatory!
FINRA, SEC, State & CFP Board Enforcement RIA Compliance

Form CRS: It’s Mandatory!

The SEC has been cracking down on broker-dealers and RIA firms that fail to file and deliver their Regulation Best Interest disclosure forms, including Client Relationship Summaries, or Forms CRS,...
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Ask an AdLaw Expert: Is there a way to remove IRS tax lien disclosures from BrokerCheck?
FINRA Expungement & Arbitration IRS Tax Liens & Disclosures

Ask an AdLaw Expert: Is there a way to remove IRS tax lien disclosures from BrokerCheck?

Is there a way to remove IRS tax lien disclosures from BrokerCheck? Tax debt disclosures subject advisors to higher scrutiny and threaten job security. That’s why this week’s Ask An...
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Rule 4111: FINRA Punishes Advisors with Checkered Past
FINRA Disputes & U5 Terminations FINRA Expungement & Arbitration FINRA, SEC, State & CFP Board Enforcement

Rule 4111: FINRA Punishes Advisors with Checkered Past

On September 28, FINRA adopted its previously proposed Rule 4111 — Restricted Firm Obligations. The Rule applies to broker-dealers with a history of misconduct or those with a concentration of...
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Advisors Protecting Their Greatest Asset: How to Avoid and Minimize Disclosures On Your Forms U4/U5
FINRA Disputes & U5 Terminations FINRA Expungement & Arbitration FINRA, SEC, State & CFP Board Enforcement IRS Tax Liens & Disclosures Webinar

Advisors Protecting Their Greatest Asset: How to Avoid and Minimize Disclosures On Your Forms U4/U5

You've worked hard and made many sacrifices to build a successful advisory business. But arguably, your greatest asset is your reputation. Any negative disclosures on your public records (BrokerCheck, the...
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Ask An AdLaw Expert: What events will trigger a FINRA inquiry?
FINRA Disputes & U5 Terminations FINRA Expungement & Arbitration FINRA, SEC, State & CFP Board Enforcement IRS Tax Liens & Disclosures RIA Compliance

Ask An AdLaw Expert: What events will trigger a FINRA inquiry?

Enforcement Defense 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...
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How does AdvisorLaw help recruiters?
FINRA Expungement & Arbitration FINRA, SEC, State & CFP Board Enforcement Mergers & Acquisitions Recruiting RIA Setup & Registration Starting your own RIA

How does AdvisorLaw help recruiters?

Let’s say you were just approached by a lead advisor with a team who’s seeking counsel for the team’s next big move — they’re excited to discuss recruiting options with...
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What Constitutes a Breach of Fiduciary Duty — Four Elements
FINRA Disputes & U5 Terminations FINRA Expungement & Arbitration FINRA, SEC, State & CFP Board Enforcement

What Constitutes a Breach of Fiduciary Duty — Four Elements

When one party is entrusted with the care of funds or property and must act on behalf of another, a fiduciary duty is created. As the former party is obligated...
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Ask an AdLaw Expert: What types of disclosures can be expunged from FINRA’s BrokerCheck site?
FINRA Disputes & U5 Terminations FINRA Expungement & Arbitration FINRA, SEC, State & CFP Board Enforcement IRS Tax Liens & Disclosures

Ask an AdLaw Expert: What types of disclosures can be expunged from FINRA’s BrokerCheck site?

FINRA Disclosure Expungement 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 AdLaw...
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FINRA’s “Willful” Non-Disclosure of Tax Liens
FINRA Expungement & Arbitration IRS Tax Liens & Disclosures

FINRA’s “Willful” Non-Disclosure of Tax Liens

Among the other disclosures required by Form U4, reps are required to disclose information dating back ten years that pertains to bankruptcies, conflicts with creditors, and other financial issues. Disclosure...
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How To Plan Your Transition Away From A Broker-Dealer
Mergers & Acquisitions RIA Setup & Registration Starting your own RIA Succession Planning

How To Plan Your Transition Away From A Broker-Dealer

If you’re planning to transition away from your current broker-dealer, it’s imperative to take a knowledgeable and cautious approach to communicating with your clients. Naturally, you’ll want to retain as...
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Ask an AdLaw Expert: When should I start planning to sell my advisory practice or RIA?
Lending Opportunities Mergers & Acquisitions RIA Setup & Registration Starting your own RIA Succession Planning

Ask an AdLaw Expert: When should I start planning to sell my advisory practice or RIA?

Mergers & Acquisitions When you’re looking to sell your advisory firm or RIA, there are many factors at play that could impact how seamless and profitable the transaction of your...
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Are you in compliance with the SEC’s new marketing rule?
FINRA, SEC, State & CFP Board Enforcement RIA Compliance RIA Setup & Registration

Are you in compliance with the SEC’s new marketing rule?

Effective May 4, 2021, the SEC’s new marketing rule for investment advisers, 17 CFR § 275.206(4)-1, made significant changes to the way SEC-registered advisers should think about advertising and solicitation. ...
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