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...

An advisor in Illinois who began his career in the industry back in 2001 had a sole customer dispute on his CRD and public BrokerCheck records. The claim had been...

Digital signatures have revolutionized the financial industry — streamlining processes and improving convenience. But with convenience comes risk, and the Financial Industry Regulatory Authority (FINRA) continues to sound the alarm...

A 38-year industry veteran in Tucson had two disclosures on his CRD and public BrokerCheck records. One was lodged by a customer in 2016, and the other dated back to...

The Certified Financial Planner™ Board of Standards (CFP® Board) is shaking things up with a new policy that could significantly impact CFPs® and their clients. Here's a breakdown of the...

An investment adviser representative out of Orange County, California spent 20 years in the industry with a glaring criminal disclosure on his public BrokerCheck record. Tired of living with the...

An advisor in Texas with over 30 years of industry experience had three lingering customer dispute disclosures on his record from 2002 and 2003. After spending more than 20 years...

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...

Attention RIAs! The SEC's recent crackdown on marketing rule violations serves as a stark reminder: compliance is critical in today's evolving regulatory landscape. Don't get caught off-guard — AdvisorLaw is...

Ten years into his career, in 2015, an advisor in Georgia was hit with a customer dispute disclosure. While the firm had denied the customer’s claim, an allegation that account...

A California-based advisor who has spent more than 30 years in the industry had one glaring scar on his CRD and public BrokerCheck records: a criminal charge for possession. In...

A California-based advisor who has spent more than 30 years in the industry had one glaring scar on his CRD and public BrokerCheck records: a criminal charge for possession. To...

As a financial advisor, you've meticulously nurtured your practice, cultivated client relationships, and built a solid reputation. Now you're contemplating a move — perhaps migrating to a new firm, charting...

Between 2019 and 2022, a Jacksonville, Florida-based advisor with over 30 years of dedication to the financial services industry collected 5 customer dispute disclosures on his public BrokerCheck record. All...

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...

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...

An advisor in Texas, in the middle of a now 33-year career in the industry, was hit with a customer dispute in 2020. He hired AdvisorLaw to seek expungement of...

This Virginia-based Advisor with over 23 years of industry experience had a sole disclosure on his public BrokerCheck record. Seeking to reinstate his perfect records, he hired AdvisorLaw to support...

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...

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...