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.
AdvisorLaw Spotlight: Austin Davis, J.D.
Meet Austin Davis, Esq. — an invaluable associate attorney at AdvisorLaw. Austin has an impressive track record, having successfully cleared advisors' names in numerous expungement cases.
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Part 2: Strategies For Risk Mitigation & The Importance of Ongoing Reviews
In Part 1, we examined the complexities of SEC supervisory requirements and the risks faced by small RIAs. This second installment shifts to covering actionable strategies for crafting tailored compliance...
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Part 1: The Complexities Of RIA Supervision
Navigating RIA supervision? Discover the complex challenges small firms face, SEC requirements, and the risks of inadequate compliance in Part 1 of our series. Learn why robust oversight is crucial...
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Misleading Termination Expunged From Pennsylvania Advisor’s Record
Financial advisor's misleading Edward Jones termination expunged from FINRA CRD & BrokerCheck. Learn how to clear false U5 disclosures & restore your career.
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Now Offering: Private Fund Formation & Ongoing Compliance Services
AdvisorLaw is excited to announce a comprehensive new service line tailored specifically for financial professionals looking to launch and manage private funds.
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North Carolina Advisor Restores Perfect Public Records Through FINRA Expungement
In June 2024, a North Carolina-based financial advisor (FA) faced a customer dispute disclosure on his Central Registration Depository (CRD) and public BrokerCheck® records.
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FINRA Grants Expungement Of Advisor’s Misleading Termination
A Connecticut financial advisor successfully secured expungement of a false 2024 termination disclosure related to "underperformance" from his FINRA CRD and BrokerCheck records. FINRA's decision against Resolute Investment Distributors highlights...
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Unlock RIA Growth: How Compliance Automation Drives Efficiency
In the complex world of RIAs, true compliance is essential for building trust and running a successful business. However, relying on manual compliance methods can drain resources and slow you...
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30-Year Industry Veteran Expunges 2024 Termination Disclosure
In July 2024, a seasoned financial advisor (FA) in Glencoe, Illinois, faced a misleading termination disclosure on his Central Registration Depository (CRD) and public BrokerCheck® records.
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Regulatory Expectations In The Digital Age
The financial world thrives on connection — it's built on conversations, insights shared, and relationships nurtured. But in today's hyper-connected reality, the very tools that strengthen those connections can become...
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Illinois Advisor Clears Record Of Misleading Termination Allegation
In January 2013, an investment adviser representative (IAR) in Edwardsville, Illinois, faced a misleading Form U5 termination entry on his Central Registration Depository (CRD) and public BrokerCheck® records.
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SEC Signals Potential Shift In State Advisor AUM Threshold
In 2022, a dedicated New York-based financial advisor (FA) with an unblemished, six-year career faced a damaging Form U5 termination entry on his Central Registration Depository (CRD) and public BrokerCheck®...
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Navigating The SEC’s Marketing Rule: Clarity & Caution For RIAs
The world of investment advisory marketing just got a little clearer, thanks to the Securities and Exchange Commission's (SEC) recent publication of crucial guidance on its
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Michigan Advisor Clears Records Of False Forgery Allegation
A Michigan financial advisor successfully cleared his BrokerCheck® and CRD records, expunging a false forgery allegation on a fixed-index annuity application. Learn how HLBS Law secured FINRA expungement for this...
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FINRA | Brokers FINRA Disputes & U5 Terminations FINRA Expungement & Arbitration FINRA, SEC, State & CFP Board Enforcement
Window For Expunging Settled Investor Complaints Closes October 2025
The rules around FINRA expungement have changed — and the clock is ticking for certain disclosures. FINRA’s updated rules set a firm October 2025 deadline for
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AdvisorLaw Spotlight: Janet Messer
Meet a vital member of the AdvisorLaw family: Janet Messer! With 20+ years of experience across the financial services spectrum — from banks to broker-dealers, to RIAs – Janet's insights...
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When Compliance Gets Compromised: The Private Equity Problem Facing RIAs
Is private equity compromising RIA compliance? Learn about the shift from service to scale in PE-backed compliance firms, the risks of cookie-cutter solutions, and what RIAs can do to find...
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New Jersey Advisor Clears Record of Two False Customer Disputes
For an entire decade, this New Jersey-based financial advisor (FA) had unblemished Central Registration Depository (CRD) and public BrokerCheck® records — when his record was marred with the first of...
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Currently-Unregistered Advisor Clears Records With Termination Expungement
We're closely monitoring recent developments regarding the Securities and Exchange Commission's (SEC) potential re-evaluation of the assets under management (AUM) threshold that distinguishes state-registered investment advisors
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Steps To Prepare Your RIA For The SEC’s Cybersecurity Rules
The SEC's new 2025 cybersecurity rules are here for RIAs. Get a step-by-step guide to develop policies, incident response, vendor oversight, and more. Prepare your RIA for compliance with AdvisorLaw's...
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