A financial advisor who had been in the industry for over 37 years sought expungement of a customer complaint. The customer had alleged that the financial advisor placed in an...

While working at an RIA in the 1990s, an advisor received a Form U5 termination disclosure from FINRA due to a disagreement with his partners. Today, this 30-year veteran investment...

If you spend the entirety of your career as a financial advisor, chances are you’re going to be hit with the dreaded FINRA inquiry, in the form of a Rule...

When a customer makes a complaint to a FINRA-registered firm or representative, FINRA rules dictate that the complaint be recorded in its Central Registration Depository (CRD) system as a customer...

A financial services professional who had been in the business for nearly 25 years had a settled customer dispute on his record that was meritless. Six full years after the...

With the current hyper-vigilant compliance culture permeating FINRA member firms, the odds of being terminated and having a blemish on your U5 are ever-increasing. The best move you can make...

Would you put a for sale sign in front of your house prior to having an idea of what you could get for it, without making improvements to enhance value...

You've probably noticed that the Registered Investment Advisor (RIA) channel is experiencing record-breaking growth. Like you, more and more advisors are realizing that RIAs offer the best of both worlds: happier...

A financial advisor from Texas qualified to make Barron’s Top 100 Financial Advisors list by all metrics, other than the five meritless customer complaints that dotted his record. To make...

Have you ever heard of Rule 4111? Unless you’re an officer at your firm, it’s unlikely that you have. As AdvisorLaw exclusively represents individual financial advisors, we typically have little...

A financial advisor out of Texas had excelled at a firm for nearly ten years. Although he’d received many promotions and was the leader in branch sales revenue, the firm...

An Illinois financial advisor who has been in the business since 1995 finally expunged a ten-year-old FINRA record of a customer complaint related to the global settlement of Medical Capital...

Contact Us Today! CFP® professionals have long been subject to a litany of requirements. The new reporting standard, set forth in the CFP Board’s Code of Ethics and Standards of...

Contact Us Today! It’s that time of year again! If your RIA’s fiscal year ended on Dec 31st, 2020, your Form ADV and annual filings are due March 31st, 2021....

A financial advisor out of Texas demanded the expungement of a customer dispute that was showing on his CRD and BrokerCheck records. The customer had alleged misrepresentation of a REIT...

A financial advisor out of New York who is growing his practice requests the removal of a single, denied customer dispute disclosure pertaining to the illiquidity in the auction rate...

Contact Us Today! By 2030, Gen X and millennials are expected to inherit more than $23 trillion from prior generations. By 2045, a whopping $68 trillion will have been passed...

A young financial and investment advisor from Arizona sought expungement of a Form U5 termination disclosure from his Central Registration Depository (CRD) record and online BrokerCheck profile.

Imagine you’re driving down the highway when you’re suddenly pulled over and accused of speeding. Do you fight the ticket or pay for it? We all know it’s the police's...

A one million dollar loan will provide approximately $55k in savings. With those extra funds, advisors could acquire a practice, consolidate debt, create working capital, pay for construction costs, or purchase commercial...