Unsuitability & Misrepresentation Cleared From Broker’s Record
Case Results & Wins

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...
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How does AdvisorLaw help recruiters?
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...
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What Constitutes a Breach of Fiduciary Duty — Four Elements
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...
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Advisor’s Termination & Internal Investigation Removed
Case Results & Wins

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...
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FINRA’s “Willful” Non-Disclosure of Tax Liens
FINRA Expungement & Arbitration IRS Tax Liens & Disclosures

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...
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How To Plan Your Transition Away From A Broker-Dealer
FINRA Disputes & U5 Terminations RIA Setup & Registration Starting your own RIA

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...
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Veteran Advisor In Colorado Expunges Form U5 Termination Disclosure
Case Results & Wins

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...
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Oregon Advisor Clears Five Customer Dispute Disclosures
Case Results & Wins

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....
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Are you in compliance with the SEC’s new marketing rule?
FINRA, SEC, State & CFP Board Enforcement RIA Compliance RIA Setup & Registration

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. 
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What is a FINRA Acceptance, Waiver, and Consent (AWC)?
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...
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Expungement Week 2021
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...
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How do I form a new RIA and what are the minimum requirements?
RIA Setup & Registration Starting your own RIA

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...
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FINRA Registration Expunges Advisor’s Criminal Disclosure
Case Results & Wins

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...
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Advisor Prevails – Award/Judgment Customer Dispute Expunged
Case Results & Wins

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,...
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Advisor Back In Action With A Clean Record After Termination
Case Results & Wins

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...
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California Advisor Removes 20-Year-Old, Settled Dispute
Case Results & Wins

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)...
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Disclosing Tax & Financial Events On The Form U4
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...
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Advisor Expunges Three Customer Disputes, Clearing His Record
Case Results & Wins

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...
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Preparing To Sue A Broker-Dealer
FINRA Disputes & U5 Terminations FINRA Expungement & Arbitration FINRA, SEC, State & CFP Board Enforcement

Preparing To Sue A Broker-Dealer

Before seeking to sue a broker-dealer, it’s important that you take a step back and ask yourself a few questions. If you choose to move forward with a suit, it’s...
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Never Settle for Firm Representation During FINRA Arbitration
FINRA Disputes & U5 Terminations FINRA Expungement & Arbitration FINRA, SEC, State & CFP Board Enforcement

Never Settle for Firm Representation During FINRA Arbitration

You have recently been named as a respondent in a FINRA arbitration filed by a customer against you and your firm. What should you do? The answer is simple: hire...
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