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.
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 Of Sole Disclosure 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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FINRA | Brokers FINRA Disputes & U5 Terminations FINRA Expungement & Arbitration FINRA, SEC, State & CFP Board Enforcement
FINRA Enforcement Actions Hits 8-Year High
FINRA enforcement hits an 8-year high in 2024. Learn how AdvisorLaw's expert defense strategies protect your RIA career from increased regulatory scrutiny.
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Dallas Advisor’s Customer Dispute Expunged By FINRA Panel
FINRA panel expunges customer dispute from Dallas advisor's record. Learn how AdvisorLaw and HLBS Law helped clear false allegations of unauthorized trading and restore his reputation.
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The Hidden Threat Of Investor Attorneys
As a financial advisor, your reputation is your most valuable asset. It’s what attracts clients, builds trust, and sustains your career. But what happens when a meritless customer dispute disclosure...
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FINRA Panel Awards Expungement of Charleston Advisor’s Sole Disclosure
Read how a Charleston financial advisor successfully cleared his record after 15 years. A FINRA panel granted expungement of a customer dispute based on false allegations.
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Expungement Victory For California Advisor With 2021 Termination
After a decade of exemplary service in the financial services industry, this California-based professional sought to clear his CRD and public BrokerCheck® records of a misleading termination disclosure filed by...
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Why Your RIA Needs A Compliance Partner, Not A Contract
We believe in earning your business — every single day. That's why you won't find any multi-year contracts at AdvisorLaw. We're confident that our service speaks for itself. Our tailored...
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New York Advisor Wins Expungement Of 2020 Customer Dispute
This New York-based financial professional began her career in 2012 and maintained a spotless record until a false customer complaint surfaced in 2020. After years of the unwarranted mark tarnishing...
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AdvisorLaw Spotlight: Dave Reichert
With over 15 years of experience in the financial services industry, Dave Reichert has dedicated more than a decade to collaborating with financial advisors to deliver comprehensive planning and investment...
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Three-Arbitrator Panel Expunges 2019 Dispute From LA Advisor’s Records
In 2019, after nearly two decades with a spotless career, a Los Angeles-based financial advisor faced his first blemish on his otherwise-pristine BrokerCheck® record. A client wrongly accused him of...
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Grow Your RIA: A Strategic Guide to Mergers & Acquisitions
As your RIA grows, you may consider strategic acquisitions to expand your client base, increase revenue, and enhance your service offerings. Mergers and acquisitions (M&A) can be a powerful tool...
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Expunge Certain BrokerCheck Disclosures Before FINRA’s Deadline
Are you a financial advisor with a settled customer complaint over two years old on your BrokerCheck or CRD record? If so, you need to act now. As a result...
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Quadruple Expungement Victory For Industry Veteran In Colorado
With a financial services career spanning more than four decades, this Colorado-based, firm chairman, broker, and investment adviser had impeccable CRD and public BrokerCheck® records — until he was erroneously...
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Marketing Rule Audits: Can Your Firm Pass The Test?
The SEC and state regulators have begun conducting “special exams” — limited-scope reviews designed to assess one critical area: compliance with the marketing rule. While focused, these exams pose a...
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The SEC’s Focus On Ad Hoc Creditors’ Committees
The recent SEC action against Marathon Asset Management serves as a stark reminder for registered investment advisers (RIAs) to prioritize compliance when participating in ad hoc creditors’ committees or other...
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Termination Expungement Win For California IAR
This California-based former broker and current investment adviser representative (IAR) began her career in 2003. Six years later, she found herself being terminated from her then-current firm, LPL, for an...
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