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.
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...
Read More
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...
Read More
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...
Read More
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...
Read More
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...
Read More