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.
How many expungement cases does AdvisorLaw handle?
https://www.youtube.com/embed/rHaEFBjjOqI Contact Us Today! Did you know that AdvisorLaw handles nearly 50% of all FINRA disclosure expungements? We have been helping advisors restore their reputations for nearly a decade. With...
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Advisor Expunges Form U5 Termination Disclosure From 2013
A Los Angeles-based advisor with over 20 years in the industry sought expungement of the one mark on his public record — a termination disclosure from nearly a decade earlier....
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FINRA Resumes Plans to Dismantle its Expungement Process
Further supporting the notion purported by PIABA and NASAA that FINRA’s expungement process is far too forgiving to advisors, FINRA released a discussion paper on May sixth to address the...
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Choosing The Right M&A Team To Sell Your Advisory Firm
Any advisor who has gone through a sale knows that it all comes down to selecting the right team to complete the transaction. You’re not only selling your company —...
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New Jersey Advisor Removes Four Settled Customer Disputes
An advisor in New Jersey who has been in the industry for nearly 30 years sought expungement of four, settled customer disputes that dated back to 2000. He hired AdvisorLaw...
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20-Year-Old Dispute With $225,000 Settlement Expunged
A Seattle-based advisor had a customer dispute disclosure on his records since 2002, reflecting $650,000 in damages sought and a settlement of $225,000. Seeking to clear his record of the...
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What is needed to file and update my Form ADV?
https://www.youtube.com/embed/ukLYMWGvl0g Contact Us Today! We frequently see RIAs make mistakes on their Forms ADV, oftentimes because they simply misunderstood a question. With the SEC’s recent changes to Reg BI, and...
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FINRA Rule 8210 Investigations: How To Respond And Protect Yourself
You just received a letter from FINRA. You may have anticipated the letter, or you may be surprised to get the letter in the first place. If you carefully read...
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FINRA Form U4: A Complete Guide for Financial Professionals
Every member of FINRA has completed and filed a Form U4. But what may seem like an easy and uncomplicated task does carry with it some serious weight. It’s critical...
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Connecticut Advisor Achieves Expungement Of Three REITs
A 36-year veteran of the industry received three customer dispute disclosures between 2018 and 2020. All three involved investments in real estate investment trusts (REITs) and two of the claims...
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Texas Advisor Achieves Expunges Sole Customer Dispute
In 2019, our advisor was hit with two disclosures — one customer dispute and one investigation — both pertaining to an investment made by a man in his 70s. Our...
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Can I sue my broker-dealer or RIA for damages if I was terminated?
https://www.youtube.com/embed/QcN7v1fYf6I Contact Us Today! The language a firm uses on a terminated advisor’s FINRA Form U5 can cause irreparable damage to their public record and ability to move to another...
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How Advisors Can Bounce Back From A Termination
It seems that more and more high-profile and multi-billion-dollar advisors are being terminated today than in the past. If you’re an advisor, these firings should act as a stark warning....
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What is the process for expunging disclosures from BrokerCheck and the CRD?
https://www.youtube.com/embed/lg2ODPUY-Xg Contact Us Today! Advisors must present their case to an arbitrator through FINRA's dispute resolution forum in order to have an investor dispute or libelous U5 termination successfully removed...
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The SEC Releases the Department of Examination’s 2022 Compliance Priorities
In the report, the SEC outlines its areas of specific focus, which include private funds, standards of conduct, information security and operational resiliency, emerging technologies and crypto assets, and environmental,...
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Advisor Expunges Criminal Disclosure From FINRA’s CRD
A southern-based advisor sought to expunge one criminal disclosure from his public records with FINRA Registration. In 2004, the advisor was pulled over by police and arrested for a DUI. In...
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Tips To Begin Planning Your RIA Succession
Values of registered investment advisors, or RIA, businesses have skyrocketed over the last decade. Today, RIA valuations are at historic highs. With the Russia-Ukraine conflict barreling on and inflation continuing...
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Does the compliance attorney for my broker-dealer represent me?
https://www.youtube.com/embed/li_ZwVpMTF4 Contact Us Today! Many advisors default to using their firm’s attorney to spare themselves the expense of hiring private counsel. But in many instances, advisors feel like they are...
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FINRA Arbitrator Grants Expungement Of 3 Settled Disputes
An advisor in upstate New York had three customer disputes on his records. Two dated back to 2004 and had been settled for hundreds of thousands of dollars. The third...
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A San Jose Advisor Restores His Perfect Public Record
In 2017, 30 years into his financial services career, a San Jose-based advisor’s perfect public record was stained with a customer dispute alleging misrepresentation among other sales-practice violations pertaining to...
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