Our advisor in this case had a pristine record since 2009. However, six customer complaints that were lodged between 1997 and 2008, all alleging unsuitability, were misleading investors and potential...

Registered investment advisors and firms should begin preparing for the Securities and Exchange Commission’s new marketing rule. The deadline is quickly approaching, and many RIAs are worried that they’re entering...

FINRA Rule 3110 pertains to its member firms’ supervision of associated persons. It requires that “[e]ach member shall establish and maintain a system to supervise the activities of each associated...

https://www.youtube.com/embed/0qOZWxZBt8Y Contact Us Today! Any time a rep leaves a firm, they are required to file a Form U5 describing the circumstances under which the rep departed. On this week’s...

Since its early days, AdvisorLaw has successfully assisted financial industry professionals with expunging disclosures from their records. Undisclosed federal and state tax liens can have a drastically negative impact on...

A 30-year veteran of the financial services industry sought FINRA expungement of three customer disputes, two of which we settled, dating back to 2003. When the advisor was just beginning...

An advisor in Pennsylvania had been in the financial services industry with Merrill Lynch for nearly 30 years. Two customer disputes — each of which arose after unprecedented market turmoil...

An investment adviser representative in Arizona hired AdvisorLaw to seek FINRA expungement of an unwarranted Form U5 termination disclosure that had been marring his records for nearly five years. The...

It’s common knowledge in the financial services industry that many broker-dealer firms will take extreme measures to dissuade their registered representatives from departing a firm with their clients, and the...

2021 was quite the year in the securities industry — another year of incredibly-volatile markets, as COVID-19 continued to interrupt daily life, and another year of FINRA attempting to prove...

A 30-year veteran of the financial services industry sought FINRA expungement of three customer disputes, two of which we settled, dating back to 2003. The first customer dispute arose after...

The optics of a tax lien are never good for financial advisors and wealth managers. That’s why it’s always in their best interest to resolve any tax liens with the...

Although advisors currently have the option to seek expungement of disclosures from their CRD, BrokerCheck, IARD, or IAPD records, the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory...

Whether you’re starting your own registered investment adviser, or RIA, firm, or your RIA is in need of a Form ADV update, it’s important to ensure that the processes required...

An advisor in Ohio had a perfect public record, aside from a sole customer dispute. The claim had been denied by the Ohio Department of Insurance, yet it plagued the...

A California-based, veteran advisor of more than 25 years had incurred three customer disputes in October of 1998. The claims alleged negligence and failure to supervise in relation to fraud...

If you ever find yourself under FINRA or SEC investigation, or in receipt of a FINRA Rule 8210 request, there are a number of important steps to follow to avoid...

Contact Us Today! As the lion’s share of established advisors who have registered investment advisers, or RIA, firms are nearing retirement, at the same time, there is a growing base...

Advisors who are relatively new to the industry and want to grow their business quickly may seek to acquire another practice. Larger firms or practices looking to grow in size...

A Georgia-based financial advisor spent more than 20 of his 23-plus years in the industry with an erroneous customer dispute on his records. Seeking to remove the disclosure at last,...