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...

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,...

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...

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...

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...

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...

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...

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...

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...

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...

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...

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...

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...

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...

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...

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...

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...

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...

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? ...

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....