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.
Dual-Registrants FINRA | Brokers FINRA Disputes & U5 Terminations FINRA Expungement & Arbitration SEC & State | RIAs & IARs
AdvisorLaw’s Defense Division
Facing FINRA, SEC, or customer disputes? AdvisorLaw is your strategic defense partner. Our dedicated securities attorneys specialize exclusively in BrokerCheck expungement, U4/U5 issues, regulatory investigations, and litigation to safeguard your...
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Colorado Springs Advisor Wins U5 Termination Expungement
A financial advisor from Colorado Springs, Colorado sought to remove a defamatory and misleading termination entry from her Central Registration Depository (CRD) and BrokerCheck® records. The disclosure falsely stated she...
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FINRA Grants Expungement Of 2018 Discharge For New Jersey Advisor
A 30-year New Jersey veteran advisor successfully erases a 2018 "discharge" from his record. Learn how HLBS Law secured a FINRA award to change a defamatory U5 termination to "Voluntary,"...
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The Complete Checklist for an RIA Merger or Acquisition
Accelerate growth by merging or acquiring an RIA. Our comprehensive guide covers the 5 critical M&A phases: from LOI drafting and due diligence to client transition and regulatory compliance.
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FINRA Panel Awards Expungement Of San Antonio Advisor’s Customer Dispute
A dedicated financial advisor (FA) in San Antonio, Texas fought to remove a baseless customer complaint from his Central Registration Depository (CRD) and BrokerCheck® records. The complaint, lodged 11 years...
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FINRA Grants Expungement of Unsuitability Claims for West Virginia Advisor
See how a veteran advisor used FINRA Rule 2080 to expunge a false $750k unsuitability claim. Discover the legal strategy that restored a 37-year spotless record after a unanimous arbitration...
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Introducing OCCO-Lite: Compliance Without The Headache
Tired of compliance checklists? Meet OCCO-Lite, AdvisorLaw's new streamlined outsourced CCO service for RIAs. Get dedicated expert support, attorney oversight, and Nexus™ platform access—without the headache or high cost. Focus...
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BrokerCheck Vindicated: Arizona Advisor Clears Misleading U5 Disclosure
Despite an otherwise-spotless record since 2012, this Arizona-based professional faced a single blemish on his BrokerCheck® and CRD records stemming from a Form U5 termination disclosure filed by his former...
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Launch Your Independent RIA with Trusted Support
Launch your independent RIA with confidence. Get expert support for RIA registration, smooth advisor transition, and business agreement review to minimize risk and ensure regulatory compliance.
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Texas Advisor Clears BrokerCheck of Unsuitable Claim
With 16 years’ experience in the industry, this financial advisor (FA) in Austin, Texas faced a single, unwarranted disclosure on his BrokerCheck® and CRD profiles from a 2020 client complaint...
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Advisor Clears Record of an Old Annuity Claim
A South Carolina financial advisor successfully cleared a baseless 2011 customer dispute from his BrokerCheck record with a FINRA expungement award.
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The High Cost of RIA Compliance Oversight: A Cautionary Tale
In the world of financial advising, trust and regulatory compliance are non-negotiable. Yet even with the best intentions, a single oversight can lead to significant risk.
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CFP Board vs. BrokerCheck: A Battle for Advisor Fairness
Has an unproven BrokerCheck claim hurt your reputation? The CFP Board agrees the data is flawed. Discover how to challenge and remove misleading disclosures.
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Why a “Dismissed” Investor Claim Isn’t Enough
A Virginia advisor successfully expunged an outdated annuity dispute from his BrokerCheck profile. Discover how HLBS Law fought to clear his name.
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Outsourced CCO for RIAs: Is It SEC-Compliant?
Are RIAs allowed to outsource their CCO? Get clarity on SEC rules, proposed regulations, and the importance of an empowered, independent chief compliance officer.
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Your 2025 RIA Compliance Checklist: Insights from a Leading Expert
Get insights on SEC priorities for 2025 from AdvisorLaw's expert, Michelle Atlas-Quinn. Learn how to navigate compliance, fees, and client communication risks. Earn CE credit.
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How a “Marked” Record Can Tank Your Career Mobility
Don't let a blemished record hold you back. Learn how your BrokerCheck disclosures are limiting your career as a financial advisor and what you can do about it.
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From Fired to Free: FINRA U5 Expungement Victory
An Indianapolis executive successfully pursued FINRA arbitration to expunge a misleading Form U5 disclosure related to a dismissed criminal charge, restoring his pristine BrokerCheck® record.
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FINRA U5 Expungement: California Advisor Clears BrokerCheck of Misleading Termination Disclosure
A California advisor's career was saved with a successful FINRA Form U5 expungement. Discover how AdvisorLaw cleared a misleading termination disclosure related to social media use.
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Financial Advisor M&A Consulting with AdvisorLaw
For independent financial advisors, the decision to sell, merge, or acquire a practice is one of the most pivotal in a career. Yet too many advisors enter the M&A process...
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