When a registered investment adviser (RIA) goes through an acquisition, the transition period is critical for maintaining seamless operations and ensuring adherence to regulatory requirements. Understanding compliance obligations is essential...

In today's RIA compliance landscape, you have a choice. You can go with a large, private-equity-backed firm that offers a one-size-fits-all approach, or you can partner with AdvisorLaw, a client-focused...

Does an outdated criminal disclosure hold you back? You're not alone. Millions of Americans face limitations in their careers and personal lives due to past mistakes reflected in their public...

About 25 years into his career, this Texas-based advisor and CCO had one termination disclosure on his records from 2017. He chose to seek expungement of the disclosure with the...

The world of wirehouse advisors is changing. While some may enjoy a comfortable status quo, a new undercurrent of vulnerability is undeniable. Don't mistake this message for scaremongering — it's...

Contact Us Today! Award Date: June 21, 2024Claimant Representative: Chelsea Bauer, J.D., HLBS LawRespondent Firm: Goldman Sachs & Co. LLC Case Objective: This Florida-based investment adviser and former broker has...

After more than 20 years in the financial services industry, this advisor had a single customer dispute on his CRD and BrokerCheck records. In hopes of restoring his perfect record,...

The world of registered investment advisors (RIAs) is a land of opportunity. But it's also a minefield of regulations. A single misstep can lead to hefty fines, reputational damage, and...

The SEC recently held a webinar focused on exam priorities and what advisors can expect during the examination process. Here's a breakdown of the key takeaways for registered investment advisors...

An Illinois-based advisor who began his career in the industry in 1976 had two customer disputes that he wanted expunged from his records. He hired HLBS Law to take advantage...

Are you a financial advisor who’s yearning to break free and build a practice on your terms? Financial advisors are increasingly drawn to the allure of independence. But this path...

The Department of Labor (DOL) has issued yet another new rule set to shake things up for financial professionals who assist investors with their qualified retirement accounts. Here's a breakdown...

This New Jersey-based advisor in the midst of his fourth decade in the financial services industry had a single disclosure on his BrokerCheck record, which was a denied dispute from...

An advisor in Connecticut had two customer disputes from 2002 and 2003 on an otherwise clean record that dated back to 1997. After living with the marks for more than...

As recently reported, new FINRA data reveals a significant drop in expungement requests through its own Dispute Resolution forum, since the implementation of stricter policies in October of last year....

This New Jersey-based advisor had been in the industry for about 24 years with an exemplary track record. But one, denied customer dispute on his records since 2016 indicated otherwise....

The registered investment advisor (RIA) M&A market is undergoing a significant transformation. After a decade of continuous growth, deal volume witnessed a slight dip in 2023. However, industry experts anticipate...

A Santa Monica, California-based advisor entering his 51st year in the industry sought to expunge two denied claims from his CRD and public BrokerCheck records. He hired HLBS Law to...

For decades, noncompete clauses have been a standard part of employment contracts in the financial services industry. These clauses restricted financial professionals' ability to move to competitors, after leaving their...

Approaching his 20th anniversary in the industry, this Minnesota-based advisor had a single customer dispute staining his otherwise spotless records. He hired AdvisorLaw to bring him through FINRA’s Dispute Resolution...