Navigate the complexities of financial advising with AdvisorLaw's Industry Insights. Our experts provide actionable analysis on critical areas impacting your practice, including the latest FINRA and SEC/state regulations for brokers, RIAs, and IARs, the nuances of dual registration, strategic insights into Mergers & Acquisitions, evolving enforcement trends, practical regulatory compliance strategies, and effective succession planning. Stay informed, compliant, and positioned for growth with AdvisorLaw's perspectives.
Navigating The Encrypted Messaging Maze: A Guide For RIAs
Encrypted messaging is a must for client privacy, but a risk for RIAs. Learn how to balance both. Our guide covers policies, training, monitoring, documentation, and compliance.
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FINRA | Brokers FINRA Disputes & U5 Terminations FINRA Expungement & Arbitration FINRA, SEC, State & CFP Board Enforcement
FINRA Enforcement Actions Hits 8-Year High
FINRA enforcement hits an 8-year high in 2024. Learn how AdvisorLaw's expert defense strategies protect your RIA career from increased regulatory scrutiny.
Read More
Dallas Advisorâs Customer Dispute Expunged By FINRA Panel
FINRA panel expunges customer dispute from Dallas advisor's record. Learn how AdvisorLaw and HLBS Law helped clear false allegations of unauthorized trading and restore his reputation.
Read More
The Hidden Threat Of Investor Attorneys
As a financial advisor, your reputation is your most valuable asset. Itâs what attracts clients, builds trust, and sustains your career. But what happens when a meritless customer dispute disclosure...
Read More
FINRA Panel Awards Expungement of Charleston Advisorâs Sole Disclosure
Read how a Charleston financial advisor successfully cleared his record after 15 years. A FINRA panel granted expungement of a customer dispute based on false allegations.
Read More
Expungement Victory For California Advisor With 2021 Termination
After a decade of exemplary service in the financial services industry, this California-based professional sought to clear his CRD and public BrokerCheckÂŽ records of a misleading termination disclosure filed by...
Read More
Why Your RIA Needs A Compliance Partner, Not A Contract
We believe in earning your business â every single day. That's why you won't find any multi-year contracts at AdvisorLaw. We're confident that our service speaks for itself. Our tailored...
Read More
New York Advisor Wins Expungement Of 2020 Customer Dispute
This New York-based financial professional began her career in 2012 and maintained a spotless record until a false customer complaint surfaced in 2020. After years of the unwarranted mark tarnishing...
Read More
Three-Arbitrator Panel Expunges 2019 Dispute From LA Advisorâs Records
In 2019, after nearly two decades with a spotless career, a Los Angeles-based financial advisor faced his first blemish on his otherwise-pristine BrokerCheckÂŽ record. A client wrongly accused him of...
Read More
Grow Your RIA: A Strategic Guide to Mergers & Acquisitions
As your RIA grows, you may consider strategic acquisitions to expand your client base, increase revenue, and enhance your service offerings. Mergers and acquisitions (M&A) can be a powerful tool...
Read More
Expunge Certain BrokerCheck Disclosures Before FINRAâs Deadline
Are you a financial advisor with a settled customer complaint over two years old on your BrokerCheck or CRD record? If so, you need to act now. As a result...
Read More
Quadruple Expungement Victory For Industry Veteran In Colorado
With a financial services career spanning more than four decades, this Colorado-based, firm chairman, broker, and investment adviser had impeccable CRD and public BrokerCheckÂŽ records â until he was erroneously...
Read More
Marketing Rule Audits: Can Your Firm Pass The Test?
The SEC and state regulators have begun conducting âspecial examsâ â limited-scope reviews designed to assess one critical area: compliance with the marketing rule. While focused, these exams pose a...
Read More
The SEC’s Focus On Ad Hoc Creditors’ Committees
The recent SEC action against Marathon Asset Management serves as a stark reminder for registered investment advisers (RIAs) to prioritize compliance when participating in ad hoc creditorsâ committees or other...
Read More
Termination Expungement Win For California IAR
This California-based former broker and current investment adviser representative (IAR) began her career in 2003. Six years later, she found herself being terminated from her then-current firm, LPL, for an...
Read More
Splitting Away From FINRA: Why Advisors Are Choosing The RIA Path
FINRAâs enforcement actions have been subject to scrutiny, due to the actionsâ rigor and potential for excessive penalties. Some argue that FINRA's enforcement practices can be overly strict and costly...
Read More
State RIA Enforcement: What Advisors Need To Know
State securities regulators play a crucial role in overseeing the activities of registered investment advisors (RIAs) within their jurisdictions. Understanding the primary areas of focus for state enforcers can help...
Read More
Anticipating Document Review Deficiencies
In December 2022, an SEC-registered advisor came to AdvisorLaw for our standard compliance consulting services. As a part of those services, the firm was asked to go through AdvisorLawâs document...
Read More
Three-Arbitrator Panel Expunges Covid-Related Dispute For San Antonio Advisor
In his nearly 20 years in the financial services industry, this San Antonio broker and investment advisor received only one customer dispute. The customer lodged several allegations and sought nearly...
Read More
Dual-Registrants FINRA | Brokers FINRA, SEC, State & CFP Board Enforcement SEC & State | RIAs & IARs
Outside Business Activities: Minefield For Financial Advisors
Financial advisors must often grapple with the convoluted regulatory system, and one particularly tricky area is reporting outside business activities (OBAs). An OBA is any business activity in which an...
Read More
Navigating The Encrypted Messaging Maze: A Guide For RIAs
Encrypted messaging is a must for client privacy, but a risk for RIAs. Learn how to balance both. Our guide covers policies, training, monitoring, documentation, and compliance.
Read More
FINRA | Brokers FINRA Disputes & U5 Terminations FINRA Expungement & Arbitration FINRA, SEC, State & CFP Board Enforcement
FINRA Enforcement Actions Hits 8-Year High
FINRA enforcement hits an 8-year high in 2024. Learn how AdvisorLaw's expert defense strategies protect your RIA career from increased regulatory scrutiny.
Read More
Dallas Advisorâs Customer Dispute Expunged By FINRA Panel
FINRA panel expunges customer dispute from Dallas advisor's record. Learn how AdvisorLaw and HLBS Law helped clear false allegations of unauthorized trading and restore his reputation.
Read More
The Hidden Threat Of Investor Attorneys
As a financial advisor, your reputation is your most valuable asset. Itâs what attracts clients, builds trust, and sustains your career. But what happens when a meritless customer dispute disclosure...
Read More
FINRA Panel Awards Expungement of Charleston Advisorâs Sole Disclosure
Read how a Charleston financial advisor successfully cleared his record after 15 years. A FINRA panel granted expungement of a customer dispute based on false allegations.
Read More
Expungement Victory For California Advisor With 2021 Termination
After a decade of exemplary service in the financial services industry, this California-based professional sought to clear his CRD and public BrokerCheckÂŽ records of a misleading termination disclosure filed by...
Read More
Why Your RIA Needs A Compliance Partner, Not A Contract
We believe in earning your business â every single day. That's why you won't find any multi-year contracts at AdvisorLaw. We're confident that our service speaks for itself. Our tailored...
Read More
New York Advisor Wins Expungement Of 2020 Customer Dispute
This New York-based financial professional began her career in 2012 and maintained a spotless record until a false customer complaint surfaced in 2020. After years of the unwarranted mark tarnishing...
Read More
Three-Arbitrator Panel Expunges 2019 Dispute From LA Advisorâs Records
In 2019, after nearly two decades with a spotless career, a Los Angeles-based financial advisor faced his first blemish on his otherwise-pristine BrokerCheckÂŽ record. A client wrongly accused him of...
Read More
Grow Your RIA: A Strategic Guide to Mergers & Acquisitions
As your RIA grows, you may consider strategic acquisitions to expand your client base, increase revenue, and enhance your service offerings. Mergers and acquisitions (M&A) can be a powerful tool...
Read More
Expunge Certain BrokerCheck Disclosures Before FINRAâs Deadline
Are you a financial advisor with a settled customer complaint over two years old on your BrokerCheck or CRD record? If so, you need to act now. As a result...
Read More
Quadruple Expungement Victory For Industry Veteran In Colorado
With a financial services career spanning more than four decades, this Colorado-based, firm chairman, broker, and investment adviser had impeccable CRD and public BrokerCheckÂŽ records â until he was erroneously...
Read More
Marketing Rule Audits: Can Your Firm Pass The Test?
The SEC and state regulators have begun conducting âspecial examsâ â limited-scope reviews designed to assess one critical area: compliance with the marketing rule. While focused, these exams pose a...
Read More
The SEC’s Focus On Ad Hoc Creditors’ Committees
The recent SEC action against Marathon Asset Management serves as a stark reminder for registered investment advisers (RIAs) to prioritize compliance when participating in ad hoc creditorsâ committees or other...
Read More
Termination Expungement Win For California IAR
This California-based former broker and current investment adviser representative (IAR) began her career in 2003. Six years later, she found herself being terminated from her then-current firm, LPL, for an...
Read More
Splitting Away From FINRA: Why Advisors Are Choosing The RIA Path
FINRAâs enforcement actions have been subject to scrutiny, due to the actionsâ rigor and potential for excessive penalties. Some argue that FINRA's enforcement practices can be overly strict and costly...
Read More
State RIA Enforcement: What Advisors Need To Know
State securities regulators play a crucial role in overseeing the activities of registered investment advisors (RIAs) within their jurisdictions. Understanding the primary areas of focus for state enforcers can help...
Read More
Anticipating Document Review Deficiencies
In December 2022, an SEC-registered advisor came to AdvisorLaw for our standard compliance consulting services. As a part of those services, the firm was asked to go through AdvisorLawâs document...
Read More
Three-Arbitrator Panel Expunges Covid-Related Dispute For San Antonio Advisor
In his nearly 20 years in the financial services industry, this San Antonio broker and investment advisor received only one customer dispute. The customer lodged several allegations and sought nearly...
Read More
Dual-Registrants FINRA | Brokers FINRA, SEC, State & CFP Board Enforcement SEC & State | RIAs & IARs
Outside Business Activities: Minefield For Financial Advisors
Financial advisors must often grapple with the convoluted regulatory system, and one particularly tricky area is reporting outside business activities (OBAs). An OBA is any business activity in which an...
Read More