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.
Newly Registered RIAs Under Increased Scrutiny
Contact Us Today! Over the last five years, the number of registered investment advisors has significantly increased by more than 20%, causing the SEC to take notice. As a result,...
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AdvisorLaw Thwarts U5 Weaponization for Successful Move
Contact Us Today! AdvisorLaw is pleased to announce a time-sensitive transition of a $650K-producing client of ours, to a national firm. After nearly two decades of experience in the industry,...
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Maintaining Compliance: The Ultimate RIA Checklist
As a registered investment advisor (RIA) or RIA firm, it is crucial to prioritize compliance regulations to maintain your license and protect your clients. Staying up to date with the...
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Texas Advisor Removes 2008 Settled Customer Dispute
A 41-year industry veteran had a stellar public record — with the exception of a 2008 customer dispute. The claim had arisen out of auction rate security illiquidity in 2008....
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What Cetera’s Warning Means For Independent Advisors
{{dc:post:title}}\n\n{{dc:post:publish_date format='M. d, Y'}}\n\nRead More...\n\n{{dc:author:display_name}}\n\n{{dc:author:bio}}\n\nFinancial advisors working for independent broker-dealers (IBDs) are typically seen as independent contractors with full autonomy over their businesses. However, recent developments at Cetera Financial Group...
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36-Year Veteran Wins FINRA Dispute Arbitration
This Chicago-based advisor’s career spans more than 35 years, and he had a perfect record, aside from one settled dispute from 2014. He wanted to take his shot at expunging...
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FINRA’s New Expungement Rule: An Authoritarian Overreach
FINRA's new expungement rules are a game-changer for advisors. AdvisorLaw's founder breaks down the devastating impact of these SEC-approved changes, explaining why seeking expungement through FINRA is now a dead...
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Oregon Advisor Wipes Two 2021 Customer Disputes From Records
In 2021, after two decades in the industry, this Oregon advisor was hit with two customer disputes alleging unsuitability. Both had been settled for relatively-nominal amounts, but the advisor wanted...
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FINRA Disputes & U5 Terminations FINRA Expungement & Arbitration FINRA, SEC, State & CFP Board Enforcement IRS Tax Liens & Disclosures
What types of disclosures can be expunged from FINRA’s BrokerCheck site?
Did you know that there are more than 25 different types of disclosures that FINRA uses to mark up BrokerCheck records? This week, on "Ask An AdvisorLaw Expert," we talk...
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Houston Advisor Removes 2021 Termination Disclosure
As he approached 30 years of experience in the financial services industry, this Houston-based advisor was blindsided by termination and a corresponding disclosure with allegations in 2021. Seeking to restore...
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The Dangers Of Off-Channel Communication For Advisors
The rise of messaging apps has revolutionized the way we communicate, but their use in the financial sector has become a major compliance challenge for brokerage and advisory firms alike.
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AdvisorLaw Helps $1M Advisor Team Move to National Firm
Contact Us Today! AdvisorLaw is pleased to announce the transition of a $1 million-producing, husband-and-wife team, to a national firm. The independent firm veterans, who have over 50 years of...
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Virginia Advisor Once Again Boasts Perfect Public Record
More than 30 years into his career in the financial services industry, this Virginia-based Advisor had a stellar record, aside from two denied customer disputes that had hit his records...
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Simplify RIA Compliance With AdvisorLaw’s Nexus Platform
We are excited to announce the release of our new Nexus Enterprise Platform demonstration! Nexus is specifically designed to help registered investment advisors (RIAs) to navigate the ever-increasing complexity of...
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Michigan Advisor Wins 3 Of 3 Disclosure Expungements Sought
A Michigan-based investment advisor and former broker with nearly 30 years of experience in the industry had three customer disputes on his records. The disputes were lodged between 2008 and...
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E&O Insurance Costs Jump 250% For Advisors With Disclosures
Contact Us Today! Financial advisors and their firms need to understand the significant impact that a history of disclosures can have on their errors and omissions (E&O) insurance premiums. What...
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WEBINAR: Take Advantage of the SEC Marketing Rule – Legally
If you're an investment advisor looking to stay up-to-date on the latest changes and regulations for marketing, then you won't want to miss this webinar hosted by Myriad Advisor Solutions....
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DOL Employment Rule Threatens Future Of Independent Advisors
The financial advisory industry as we know it may be in jeopardy, due to a proposed Department of Labor (DOL) employment rule pertaining to an employee or independent contractor classification...
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FINRA Disputes & U5 Terminations FINRA Expungement & Arbitration FINRA, SEC, State & CFP Board Enforcement
Financial Advisors Must Act Now To Remove False Disclosures
Contact Us Today! If you are a financial advisor or wealth manager with a public record, you have the right to seek the removal of false or inaccurate disclosures through...
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AdvisorLaw Helps Veteran Advisor Transition to Ideal Firm
AdvisorLaw recently facilitated the successful transition of a veteran financial advisor who had been seeking the expungement of a customer complaint. This advisor had over 20 years of experience and...
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