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.
Georgia Advisor Clears Record With Customer Dispute Expungement
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...
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Clean Slate Achieved! California Law Helps Advisor Expunge Old Criminal Record
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...
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California Law Helps Advisor Expunge Old Drug Charge
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...
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Financial Advisor Transitions: Navigate Your Move with Confidence
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...
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Florida Advisor Expunges Five GPB-Related Disclosures
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...
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Why Client Logins Are A Compliance Disaster (And How To Avoid One)
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...
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The Weaponization Of U5 Terminations — A Visual Explanation
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...
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Veteran Texas Advisor Clears Public Record of Dispute Disclosure
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...
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Virginia Advisor Wins Expungement Of DBSI-Related Claim
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...
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Big Fines For Bad Records: How The SEC’s Recent Action Affects RIAs
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...
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Financial Advisor Exodus: 2025’s Biggest Trends & Your Strategic Move
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...
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Demystifying The Maze: Your Guide To RIA Compliance
The road to a thriving RIA firm isn't a straight and flat one that’s paved with roses — it's a bumpy labyrinth of regulations and ever-evolving compliance requirements. This guide...
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Utah Advisor Wipes Records Clean With Triple Customer Dispute Expungement
A registered rep in Utah with a 29-year career in the industry had three marks on his otherwise stellar public record. Two were customer disputes from 2008, and the third...
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Unlock Access To Industry Awards: How Negative Disclosure Expungement Can Propel Your Financial Advisory Career
In the fiercely competitive world of financial advising, a pristine reputation is your ticket to success. But even the most ethical and skilled advisors can find their careers hampered by...
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Ohio Advisor Wins Expungement Of Four Disclosures On His Public Record
After more than 30 years in the financial services industry, this Ohio-based advisor was ready to try his chance at expunging the only marks on his public record — four...
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New Mexico Advisor Wins Expungement Of NYSE Customer Dispute Filing
An Albuquerque-based financial advisor approaching 30 years in the industry had a single customer dispute disclosure on his records. The dispute was lodged in 2020 and denied by the firm,...
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Navigating Uncertainty: Key Considerations For Wealth Manager Exit Planning
As a wealth manager, ensuring the long-term well-being of your clients is paramount. But what about the future of your own business? A well-crafted RIA buy-sell agreement is vital to...
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Virginia Advisor Wins Expungement Of Covid-Related Claim From All Records
This Virginia-based financial advisor had made it 15 years into his career with a single customer dispute when he was hit with a second dispute in 2020 that resulted from...
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Form U5 Terminations: What To Expect & How To Protect Your Career
When a broker faces termination, it's not just the end of one chapter. It's the beginning of another — one that may involve Form U5 filings. These disclosures play a...
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Tax Liens & Your Financial Career: An Advisor’s Guide
As a financial advisor, maintaining a clean regulatory record is paramount to your professional success. One area that often catches advisors off-guard is the disclosure of negative financial events —...
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