As he approached half a century of service in the financial services industry, a New York advisor hired AdvisorLaw to seek expungement of a 23-year-old customer dispute. The client had...

Registered investment advisers (RIAs) regulated by the Securities and Exchange Commission (SEC) are required to fully comply with the SEC’s new marketing and advertising rule by November 4th, 2022. With...

About halfway through a near-40-year career in the industry, a Texas-based advisor was hit with a Form U5 termination disclosure alleging that he had reallocated a customer’s subaccounts without authorization....

SEC proposed updates to its cybersecurity rule, seeking to ramp up the enforcement of cyber-related crimes. Now, the SEC will require all registered RIAs to implement a dedicated cyber-protection program...

FINRA will release 2022 data early next year, but we can be sure that the precipitous fall of the market indexes is directly correlated to the number of investor complaints.

A Maryland advisor who’s closing in on 30 years in the industry had a sole disclosure on his public records from a customer dispute lodged in 2006. With the help...

In 2009, just five years into his career in the industry, this current investment adviser representative (IAR) and then-broker received a customer dispute on his otherwise perfect record at the...

According to a recent survey by DeVoe and Company, nearly half of all RIA firms managing more than $1 billion in assets experienced higher-than-average turnover rates in 2021. Now more...

Are you growing weary of the aggressive and expensive enforcement tactics being employed by your broker-dealer and the Financial Industry Regulatory Authority (FINRA)? Have you considered joining or starting your...

Fifteen years into his career as a financial advisor, this registered rep received a FINRA Form U5 termination disclosure from his firm for allegedly failing to inform the firm of...

AdvisorLaw has dominated the FINRA arbitration environment since being branded the "800-pound gorilla." We’ve successfully completed more advisor-initiated expungements than the rest of the industry combined. Over the past seven...

In 2019, just six years into his career in the financial services industry, an advisor was hit with two customer disputes, each with a long list of allegations. While the...

Now is a good time to sell your financial advisory or wealth management practice. This month, at its 10th Deals and Dealmakers Summit, California investment-banking firm, Echelon Partners, reported “higher...

Financial advisors and wealth managers should be very concerned with the potential consequences of negative Forms U5. The Financial Industry Regulatory Authority (FINRA) has launched a two-pronged attack on its...

After nearly 25 years in the industry and nearly 20 with the same firm, a financial advisor was terminated by the firm for not having disclosed promissory notes issued by...

That's why many high-performing small RIAs are beginning to embrace the outsourced CCO model. AdvisorLaw's RIA division oversees the compliance needs for over $30 billion of AUM for RIA clients around...

In September of 2020, more than 30 years into his career as a financial services professional, a Colorado advisor was slapped with a customer dispute disclosure. The dispute had been...

Contact Us Today! This year’s SEC examination priorities focused primarily on Standards of Conduct and whether advisers are acting consistently with their fiduciary duty to clients — exploring duties of...

Twenty-four years into his career, a New Jersey-based investment adviser representative and the former broker had no customer disputes on his public records — until August 2020, when he received...

FINRA has carried out more than 600 firm exams since the implementation of Regulation Best Interest (Reg BI) in June 2020. Exactly a year later, the Securities and Exchange Commission...