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,...

AdvisorLaw is now offering a "Rideshare Program'' for financial advisors seeking to expunge customer dispute or U5 termination disclosures for the entire month of December. With over 40 million visitors to BrokerCheck® every...

Advisory practices around the U.S. have been faced with a new priority focus: succession planning. With many of the youngest baby boomers approaching their 60s, it’s alarming to learn that...

Over the last five years, Doc Kennedy and AdvisorLaw have been dubbed the "800-pound gorilla" when it comes to FINRA arbitration cases. That reputation has been earned by absolutely dominating the FINRA...

As published in the Federal Register, on June 1, 2020, the SEC approved FINRA’s proposed Rule changes to the customer dispute expungement process. Release No. 34—88945; File No. SR—FINRA—2020—005. 

Lately, AdvisorLaw has been hearing from more and more financial advisors who have imperiled their careers with social media posts and comments. We like to say that “it’s a free...

Will investment advisors with customer disputes over ten years old have to disclose them on their Form ADV under the new SEC Regulation Best Interest Rule that’s taking effect after...

When working remotely, there are some things to keep in mind to remain compliant and productive. Be sure you’re following the written policy and any written guidance provided by your...

Proposed rule changes in front of the SEC exponentially increase the minimum fees for FINRA disclosure expungement from $50 to $1,575. So, a typical expungement case would ultimately jump from...

​Effective June 30, 2020, the SEC is enforcing sweeping reform, entitled “Regulation Best Interest: The Broker-Dealer Standard of Conduct,” commonly referred to as “Reg BI.” At the same time, the SEC...

News that the expungement of qualified customer disputes was under fire from the regulators first became known on December 6, 2017; when FINRA published Regulatory Notice 17-42. Since then, the industry...

​We don't expect you to keep your finger on the pulse of the advisor-defense industry. So let us quickly bring you up to speed on the most crucial element that...

PIABA, the group of investor attorneys that are beloved by all financial advisors, have had their Foundation release a "study" ripping the current expungement process to shreds. Yes, the same niche...

When a retiring advisor’s clients know their advisor's plan for retirement and have started to build a relationship with the successor, success that the book will transition and stay with...

On Wednesday, while on vacation, an advisor got a call from his broker-dealer’s compliance department. It was from a young woman who was fairly new to the compliance team. She...

When you click on the “About FINRA” hyperlink located at the very top of FINRA’s website, the first sentence you will see is: ​ “FINRA is dedicated to investor protection...

​We’ve all been there: A new and better opportunity presents itself, we’re looking to move up in our careers, or we’re just sick of working for Susan, a hapless manager...

For over 25 years, Auction Rate Securities (ARS) products were considered safe and sound investments. Then, everything changed in 2008 when investment banks stopped purchasing ARS products at the beginning...