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...

Two financial advisors who were hit with the same customer complaint sought expungement of their shared settlement disclosure from their Central Registration Depository (CRD) and BrokerCheck records.

A registered CEO and CCO (Chief Compliance Officer) in the New York area sought the expungement of eight separate customer dispute disclosures from his BrokerCheck profile and the CRD.

Change is inevitable, especially in the world of marketing. Time-tested marketing approaches like networking, cold calling, seminars, and door knocking seem to still be working, but only to a certain...

A financial advisor from Minneapolis had five customer complaints that had arisen over his 30-year career. He sought FINRA expungement of the complaints from his Central Registration Depository (CRD) record...

Now is the time to rethink your RIA firm’s compliance and regulatory support. As we regain our footing in 2021, are you confident that your firm’s filings are in order? In...

As we begin the new year and officially close the book in 2020, it’s more important than ever to take control of your online presence and protect your good name....

Launching your own registered investment adviser (RIA) firm is an exciting, but complicated, new chapter in your career as a financial professional. From drafting the ADV to communicating with regulators,...