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.
Advisor Restores Perfect Public Records Through 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 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 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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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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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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Beyond The Marketplace: Finding Real RIA Acquisition Opportunities
Tired of crowded RIA acquisition marketplaces? Discover off-market opportunities through our curated Practice Purchase Network, leveraging your compliance relationship for targeted connections and efficient growth. Find your ideal acquisition beyond...
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New York Advisor Wins Expungement Of 2023 Customer Complaint
In 2023, this seasoned New York-based financial advisor (FA) with nearly three decades of unblemished service faced a damaging customer dispute on his CRD and public BrokerCheck® records.
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Navigating The Encrypted Messaging Maze: A Guide For RIAs
Encrypted messaging is a must for client privacy, but a risk for RIAs. Learn how to balance both. Our guide covers policies, training, monitoring, documentation, and compliance.
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New York Advisor’s Records Expunged From 2023
In 2023, after over two decades of exemplary service in the financial industry, this New York-based advisor faced a termination disclosure on his CRD and public BrokerCheck® records.
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AdvisorLaw Spotlight: Alex Padla, J.D.
We're highlighting Alex Padla, J.D. an invaluable member of the AdvisorLaw team! Alex is an associate attorney, licensed to practice law in Michigan. He has successfully secured expungements for advisors...
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