E-Signatures: From Convenience To Compliance Minefield
Digital signatures have revolutionized the financial industry — streamlining processes and improving convenience. But with convenience comes risk, and the Financial Industry Regulatory Authority (FINRA) continues to sound the alarm...
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Tucson Advisor Granted Expungement Of Disputes — One Dating Back To 1994
A 38-year industry veteran in Tucson had two disclosures on his CRD and public BrokerCheck records. One was lodged by a customer in 2016, and the other dated back to...
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CFP Board To Publicly Disclose Disciplinary Records: Are You Prepared?
The Certified Financial Planner™ Board of Standards (CFP® Board) is shaking things up with a new policy that could significantly impact CFPs® and their clients. Here's a breakdown of the...
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College Prank No Longer Haunts Career: Advisor Expunges Old Graffiti Charge
An investment adviser representative out of Orange County, California spent 20 years in the industry with a glaring criminal disclosure on his public BrokerCheck record. Tired of living with the...
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Texas Advisor Removes Three, Outdated Disputes With FINRA Expungement
An advisor in Texas with over 30 years of industry experience had three lingering customer dispute disclosures on his record from 2002 and 2003. After spending more than 20 years...
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Clear Your Record: U5 Termination Expungement Week at AdvisorLaw
AdvisorLaw is gearing up for U5 Termination Expungement Week, a week-long initiative dedicated to helping advisors facing unfair U5 terminations. We understand the significant impact these inaccurate markings can have...
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RIA Marketing Minefield: How To Avoid SEC Scrutiny In 2024
Attention RIAs! The SEC's recent crackdown on marketing rule violations serves as a stark reminder: compliance is critical in today's evolving regulatory landscape. Don't get caught off-guard — AdvisorLaw is...
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Georgia Advisor Clears Record With Customer Dispute Expungement
Ten years into his career, in 2015, an advisor in Georgia was hit with a customer dispute disclosure. While the firm had denied the customer’s claim, an allegation that account...
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Clean Slate Achieved! California Law Helps Advisor Expunge Old Criminal Record
A California-based advisor who has spent more than 30 years in the industry had one glaring scar on his CRD and public BrokerCheck records: a criminal charge for possession. In...
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California Law Helps Advisor Expunge Old Drug Charge
A California-based advisor who has spent more than 30 years in the industry had one glaring scar on his CRD and public BrokerCheck records: a criminal charge for possession. To...
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Financial Advisor Transitions: Navigate Your Move with Confidence
As a financial advisor, you've meticulously nurtured your practice, cultivated client relationships, and built a solid reputation. Now you're contemplating a move — perhaps migrating to a new firm, charting...
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Florida Advisor Expunges Five GPB-Related Disclosures
Between 2019 and 2022, a Jacksonville, Florida-based advisor with over 30 years of dedication to the financial services industry collected 5 customer dispute disclosures on his public BrokerCheck record. All...
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Why Client Logins Are A Compliance Disaster (And How To Avoid One)
Imagine losing your clients' trust and facing hefty fines — all because of a seemingly harmless practice: sharing client login credentials. Five years ago, the industry sounded the alarm on...
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The Weaponization Of U5 Terminations — A Visual Explanation
In June 2016, AdvisorLaw saw a glaring opportunity in the financial sector. Although the industry was rife with intelligent, hardworking, and well-intentioned folks, there were many hurdles for those working...
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Veteran Texas Advisor Clears Public Record of Dispute Disclosure
An advisor in Texas, in the middle of a now 33-year career in the industry, was hit with a customer dispute in 2020. He hired AdvisorLaw to seek expungement of...
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Virginia Advisor Wins Expungement Of DBSI-Related Claim
This Virginia-based Advisor with over 23 years of industry experience had a sole disclosure on his public BrokerCheck record. Seeking to reinstate his perfect records, he hired AdvisorLaw to support...
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Big Fines For Bad Records: How The SEC’s Recent Action Affects RIAs
The SEC's recent charges against 16 firms for recordkeeping failures serve as a stark warning for RIAs. Avoid costly penalties by understanding the key areas of non-compliance and taking proactive...
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Financial Advisor Exodus: 2024’s Biggest Trends & Your Strategic Move
As we analyze the intricate web of trends shaping the financial advisory landscape in 2024, the exodus of billion-dollar teams from major wirehouses emerges as a resounding theme in financial...
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Staying Compliant: Colorado’s 2024 Investment Adviser Examination Priorities
Colorado investment advisors, take action now! 2024 exam priorities released, impacting suitability, continuing education, recordkeeping & more. Get compliant & avoid risks with AdvisorLaw.
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Demystifying The Maze: Your Guide To RIA Compliance
The road to a thriving RIA firm isn't a straight and flat one that’s paved with roses — it's a bumpy labyrinth of regulations and ever-evolving compliance requirements. This guide...
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