Clear Your Record: U5 Termination Expungement Week at AdvisorLaw
FINRA | Brokers

Clear Your Record: U5 Termination Expungement Week at AdvisorLaw

AdvisorLaw is gearing up for U5 Termination Expungement Week, a week-long initiative dedicated to helping advisors facing unfair U5 terminations. We understand the significant impact these inaccurate markings can have...
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Why Client Logins Are A Compliance Disaster (And How To Avoid One)
SEC & State | RIAs & IARs

Why Client Logins Are A Compliance Disaster (And How To Avoid One)

Imagine losing your clients' trust and facing hefty fines — all because of a seemingly harmless practice: sharing client login credentials. Five years ago, the industry sounded the alarm on...
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The Weaponization Of U5 Terminations — A Visual Explanation
FINRA | Brokers

The Weaponization Of U5 Terminations — A Visual Explanation

In June 2016, AdvisorLaw saw a glaring opportunity in the financial sector. Although the industry was rife with intelligent, hardworking, and well-intentioned folks, there were many hurdles for those working...
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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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