Financial Advisor Transition RIA Setup & Registration

10 Questions Wirehouse Advisors Should Ask Themselves Right Now

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...
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Don’t Be A Statistic: 10 Compliance Fails That Can Sink Your RIA
RIA Compliance

Don’t Be A Statistic: 10 Compliance Fails That Can Sink Your RIA

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...
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FINRA Expungement Awarded: Advisor Clears Name After Goldman Sachs Termination
Case Results & Wins

FINRA Expungement Awarded: Advisor Clears Name After Goldman Sachs Termination

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...
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Staying Compliant: Key Takeaways From The SEC’s Recent Webinar
RIA Compliance SEC & State | RIAs & IARs

Staying Compliant: Key Takeaways From The SEC’s Recent Webinar

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...
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Illinois Advisor Wins Expungement Of Two Settled Claims Covered By E&O Insurance
Case Results & Wins

Illinois Advisor Wins Expungement Of Two Settled Claims Covered By E&O Insurance

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...
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Seeking Freedom? AdvisorLaw Can Help You Launch Your RIA
RIA Setup & Registration SEC & State | RIAs & IARs

Seeking Freedom? AdvisorLaw Can Help You Launch Your RIA

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...
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New DOL Rule: A Q&A For RIAs & Private Funds
RIA Compliance SEC & State | RIAs & IARs

New DOL Rule: A Q&A For RIAs & Private Funds

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...
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New Jersey Advisor Wins Expungement Of Denied 2006 Customer Dispute
Case Results & Wins

New Jersey Advisor Wins Expungement Of Denied 2006 Customer Dispute

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...
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AdvisorLaw Wins Dispute Expungement, Clears Connecticut Advisor’s Record
Case Results & Wins

AdvisorLaw Wins Dispute Expungement, Clears Connecticut Advisor’s Record

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...
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FINRA Expungement Costs Skyrocket: Exploring Alternative Forums
FINRA | Brokers FINRA Expungement & Arbitration

FINRA Expungement Costs Skyrocket: Exploring Alternative Forums

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....
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New Jersey Advisor Wipes Sole Disclosure From His Public Records
Case Results & Wins

New Jersey Advisor Wipes Sole Disclosure From His Public Records

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....
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RIA M&A In 2024: Navigating The Evolving Landscape
Mergers & Acquisitions

RIA M&A In 2024: Navigating The Evolving Landscape

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...
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50-Plus-Year Industry Veteran Wins Expungement Of Two Disclosures
Case Results & Wins

50-Plus-Year Industry Veteran Wins Expungement Of Two Disclosures

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...
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Noncompete Clauses KO’d By FTC: What Financial Professionals Need To Know
FINRA | Brokers SEC & State | RIAs & IARs

Noncompete Clauses KO’d By FTC: What Financial Professionals Need To Know

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...
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Minnesota Advisor’s Records Restored With 2011 Dispute Expungement
Case Results & Wins

Minnesota Advisor’s Records Restored With 2011 Dispute Expungement

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...
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Why SIFMA’s Proposed Form U5 Fix Could Hurt Financial Advisors
FINRA | Brokers FINRA Disputes & U5 Terminations

Why SIFMA’s Proposed Form U5 Fix Could Hurt Financial Advisors

Financial advisors are increasingly finding themselves on the wrong side of defamation claims — thanks to inaccurate information on their Form U5. This form, filed with regulators, details the reasons...
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Texting Trouble: SEC Cracks Down On Unrecorded Communications
RIA Compliance SEC & State | RIAs & IARs

Texting Trouble: SEC Cracks Down On Unrecorded Communications

The Securities and Exchange Commission (SEC) is casting a watchful eye on unrecorded communications. Millions in fines have been levied against firms for failing to properly document conversations conducted through...
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Market Crash, False Claim Resolved: Advisor Achieves Perfect Record Through FINRA Expungement
Case Results & Wins

Market Crash, False Claim Resolved: Advisor Achieves Perfect Record Through FINRA Expungement

This Florida-based adviser was living with a sole customer dispute from 2002 on his records. In an effort to restore his records to perfect by the time he reaches 30...
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Navigating Financial Advisory Transitions: A Comprehensive Guide
Dual-Registrants FINRA | Brokers SEC & State | RIAs & IARs

Navigating Financial Advisory Transitions: A Comprehensive Guide

The decision to transition as a financial advisor is a significant one, marked by opportunities for growth and change. However, the process is not without its challenges — particularly when...
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Regulatory Shift? The Supreme Court Challenges SEC’s Authority
SEC & State | RIAs & IARs

Regulatory Shift? The Supreme Court Challenges SEC’s Authority

In a recent battle at the U.S. Supreme Court, the conservative justices expressed serious reservations about the Securities and Exchange Commission's (SEC) power regarding in-house enforcement proceedings. The issue has...
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