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.
What if Compliance Accuses You of a Firm Policy Violation?
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...
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FINRA Disputes & U5 Terminations FINRA Expungement & Arbitration FINRA, SEC, State & CFP Board Enforcement
FINRA’s Goal: Investor Protection?
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...
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FINRA Disputes & U5 Terminations FINRA Expungement & Arbitration FINRA, SEC, State & CFP Board Enforcement Starting your own RIA
7 Transition Tips for Leaving With a Clean U5
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...
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Auction Rate Securities: The Conservative’s Conservative?
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...
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FINRA Disputes & U5 Terminations FINRA Expungement & Arbitration FINRA, SEC, State & CFP Board Enforcement
The Other Costs of Having FINRA U4 Disclosures on Your BrokerCheck
Losing potential business due to customer complaints on your BrokerCheck report is bad enough, but it isn’t the only cost of having FINRA U4 disclosures on your CRD. Today, most...
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Case Results & Wins FINRA Expungement & Arbitration FINRA, SEC, State & CFP Board Enforcement Reviews
How One Firm Handled Three Out of Five Broker Expungement Requests in 2018
A Denver-based firm appears to have made a cottage industry out of clearing broker records — and its founder is in no way apologetic about being the leader in a...
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Case Results & Wins FINRA Disputes & U5 Terminations FINRA Expungement & Arbitration FINRA, SEC, State & CFP Board Enforcement Reviews
Cleaning Up Tainted Broker Records Becomes a Cottage Industry For One Law Firm
Critics may take Dochtor Kennedy to task for helping brokers clean up their disciplinary records, but no one can argue with his success. The 39-year-old president and founder of AdvisorLaw,...
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Colorado Court Shuts Down FINRA Over Expungement Confirmation
Do you ever go to a meeting where it seemed that everyone showed up on time, they started the presentations at the designated hour, and then, just as things began...
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Using Your BDA Dollars to Help Solidify Your Brand
Contact Us Today! Many financial professionals have pre-tax dollars provided by their broker-dealer to help them market and advertise their business. Unfortunately, with the ubiquity of FINRA's BrokerCheck and Google, any monies...
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FINRA’s Focus on Financial Advisors With Customer Disputes
We've known for some time that FINRA ranks their brokers based on negative disclosures on their Form U4 and CRD. However, that information has never been released to the public...
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AdvisorLaw Successfully Obtains 50 FINRA Expungement Awards
AdvisorLaw has just reached an important and impressive milestone in the financial advisor industry. We have just reached our 50th winning award for customer dispute expungement in 2017 through FINRA's Rule 2080 arbitration...
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AdvisorLaw Wins FINRA Expungement Case Through Arbitration
Respondent Firm: A.G. Edwards & Sons, Inc. Hearing Site: Denver, Colorado Nature of the Dispute: Associated Person vs. Member For Claimant (“Claimant”): AdvisorLaw, Broomfield, Colorado. For Respondent A.G. Edwards & Sons, Inc. (“Respondent”): Thomas...
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Saving Your Reputation After a Meritless Customer Complaint
Many wealth managers have spent years, if not decades, of their lives, crafting a distinguished image of their practice. Words like “planning,” “trust,” “experience,” “service” and “satisfaction” consume the landscape...
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