FINRA Disputes & U5 Terminations FINRA Expungement & Arbitration FINRA, SEC, State & CFP Board Enforcement
Rule 4111: FINRA Punishes Advisors with Checkered Past
On September 28, FINRA adopted its previously proposed Rule 4111 — Restricted Firm Obligations. The Rule applies to broker-dealers with a history of misconduct or those with a concentration of...
Read More
FINRA Disputes & U5 Terminations FINRA Expungement & Arbitration FINRA, SEC, State & CFP Board Enforcement IRS Tax Liens & Disclosures Webinar
Advisors Protecting Their Greatest Asset: How to Avoid and Minimize Disclosures On Your Forms U4/U5
You've worked hard and made many sacrifices to build a successful advisory business. But arguably, your greatest asset is your reputation. Any negative disclosures on your public records (BrokerCheck, the...
Read More
Unsuitability & Misrepresentation Cleared From Broker’s Record
An advisor who has been in the industry for nearly three decades sought to expunge the one customer dispute plaguing his records through FINRA Arbitration. The advisor sought to expunge...
Read More
FINRA Expungement & Arbitration FINRA, SEC, State & CFP Board Enforcement Mergers & Acquisitions Recruiting RIA Setup & Registration Starting your own RIA
How does AdvisorLaw help recruiters?
Let’s say you were just approached by a lead advisor with a team who’s seeking counsel for the team’s next big move — they’re excited to discuss recruiting options with...
Read More
FINRA Disputes & U5 Terminations FINRA Expungement & Arbitration FINRA, SEC, State & CFP Board Enforcement
What Constitutes a Breach of Fiduciary Duty — Four Elements
When one party is entrusted with the care of funds or property and must act on behalf of another, a fiduciary duty is created. As the former party is obligated...
Read More
Advisor’s Termination & Internal Investigation Removed
A Portland-based advisor with a Form U5 termination disclosure from more than two decades earlier sought FINRA expungement of the mark from his CRD and BrokerCheck records. Eighteen months into...
Read More
FINRA’s “Willful” Non-Disclosure of Tax Liens
Among the other disclosures required by Form U4, reps are required to disclose information dating back ten years that pertains to bankruptcies, conflicts with creditors, and other financial issues. Disclosure...
Read More
How To Plan Your Transition Away From A Broker-Dealer
If you’re planning to transition away from your current broker-dealer, it’s imperative to take a knowledgeable and cautious approach to communicating with your clients. Naturally, you’ll want to retain as...
Read More
Veteran Advisor In Colorado Expunges Form U5 Termination Disclosure
A Colorado advisor who has worked in the financial services industry for more than two decades sought to expunge a five-year-old FINRA Form U5 termination disclosure. The alleged violation published...
Read More
Oregon Advisor Clears Five Customer Dispute Disclosures
An Oregon-based investment advisor representative and firm managing member has been in the industry for 20 years. In 2015 and 2016, the advisor was slammed with five customer dispute disclosures....
Read More
Are you in compliance with the SEC’s new marketing rule?
Effective May 4, 2021, the SEC’s new marketing rule for investment advisers, 17 CFR § 275.206(4)-1, made significant changes to the way SEC-registered advisers should think about advertising and solicitation.
Read More
FINRA Disputes & U5 Terminations FINRA Expungement & Arbitration FINRA, SEC, State & CFP Board Enforcement
What is a FINRA Acceptance, Waiver, and Consent (AWC)?
An Acceptance, Waiver, and Consent (AWC) is FINRA’s version of a settlement or plea agreement following an investigation into an alleged rule violation. States often refer to the agreements as...
Read More
FINRA Disputes & U5 Terminations FINRA Expungement & Arbitration FINRA, SEC, State & CFP Board Enforcement IRS Tax Liens & Disclosures RIA Compliance Starting your own RIA
Expungement Week 2021
Since being dubbed the “800-pound gorilla,” AdvisorLaw has absolutely dominated the FINRA arbitration landscape. We are responsible for more advisor-initiated expungements than the rest of the entire industry, combined. Over the last six...
Read More
How do I form a new RIA and what are the minimum requirements?
https://www.youtube.com/embed/WdQMbbKHwgA Contact Us Today! Have you ever considered starting your own registered investment adviser (RIA) firm? If so, there are a number of things to consider when choosing the path...
Read More
FINRA Registration Expunges Advisor’s Criminal Disclosure
An east coast-based advisor sought expungement of a nonsensical criminal disclosure from her public records through FINRA Registration. In 2005, the advisor was working as a volunteer at a community...
Read More
Advisor Prevails – Award/Judgment Customer Dispute Expunged
Twenty years into his career, a California advisor sought to expunge the one customer dispute on his otherwise-pristine record. While seeking expungement of a typical customer dispute can be difficult,...
Read More
Advisor Back In Action With A Clean Record After Termination
A 12-year veteran advisor in Boston spent the past three years unable to secure employment in the financial services industry due to a Form U5 termination disclosure. The firm published...
Read More
California Advisor Removes 20-Year-Old, Settled Dispute
Contact Us Today! *If you're under FINRA or SEC investigation, or if you have a meritless disclosure on your BrokerCheck, CRD, or IAPD record, call us right now at (303)...
Read More
FINRA Disputes & U5 Terminations FINRA Expungement & Arbitration FINRA, SEC, State & CFP Board Enforcement IRS Tax Liens & Disclosures
Disclosing Tax & Financial Events On The Form U4
In recent years, FINRA has consistently maintained that it views timely and accurate Form U4 reporting to be critical, and it has voiced its intent to take action against advisors...
Read More
Advisor Expunges Three Customer Disputes, Clearing His Record
A Texas-based advisor who had been in the industry for 15 years had three customer dispute disclosures involving variable annuities on his public record. He engaged AdvisorLaw and sought expungement...
Read More