The Financial Industry Regulatory Authority (FINRA) has stringent regulations in place. As part of these regulations, individual financial advisors are required to disclose any criminal issues or allegations on their...

An investment adviser representative (IAR) in Tucson, Arizona has been in the industry since 1987. His records were stellar, aside from two customer disputes that had hit his records between...

Are you considering acquiring a registered investment advisor (RIA) business or buying a financial planning practice? The process may seem daunting, but with the right knowledge and guidance, you can...

This advisor based in northern California has been in the industry since 2005. Between 2018 and 2019, his otherwise perfect record was marred by three customer dispute disclosures. All three...

The U.S. Securities and Exchange Commission (SEC) has once again unveiled its 2024 Examination Priorities. This annual release is a crucial document for registered investment advisors (RIAs), serving as a...

This Dallas-based advisor with over 30 years in the financial services industry had an impeccable record, aside from one customer dispute lodged in 2008. This advisor’s case was unique in...

An advisor working in Miami has been in the financial services industry for nearly 35 years. During that time, he maintained spotless records, until he was hit with a customer...

As a financial advisor, you work diligently to navigate the complex regulatory landscape. However, there may come a time when you receive a Wells Notice from the Financial Industry Regulatory...

Are you a financial advisor considering a shift from the world of broker-dealers to the registered investment advisor (RIA) space? The regulatory landscape can be quite different, and it's important...

This advisor from the Dallas, Texas area has been in the industry for 19 years. He had excellent CRD and public BrokerCheck records, until June 2020 when he received a...

The North American Securities Administrators Association (NASAA) conducted its 2023 Investment Adviser Coordinated Exams, providing valuable insights into the regulatory landscape for investment advisers. The exams covered a range of...

An advisor in Florida who has been in the industry since 2000 had two disclosures on his public records. Both disclosures were the result of closed or denied customer disputes,...

If you're a financial professional with a passion for helping individuals manage their assets and providing financial guidance, starting your own registered investment advisor firm might be the right path...

This New Jersey-based advisor has been in the financial services industry for nearly 25 years. His records were spotless, until he was hit with two customer disputes between 2011 and...

In the financial landscape, where trust and integrity are of paramount importance, regulatory entities like the Financial Industry Regulatory Authority (FINRA) are granted oversight for the purported purposes of maintaining...

The Securities and Exchange Commission (SEC) recently made headlines by censuring nine registered investment advisors (RIAs) and imposing combined penalties of $850,000 as part of an ongoing examination of firms'...

This financial advisor out of Illinois had one termination disclosure on his records over a 35-year career in the industry. Seeking to move forward free of the negative mark, he...

After 23 years in the financial services industry, this financial advisor in New Jersey sought to expunge the one mark on his otherwise perfect public record. His sole disclosure was...

The financial advisory landscape is on the brink of a significant change due to the looming retirement of a massive number of financial advisors. This wave of retirements is poised...

A Texas-based advisor who has been in the financial services industry for more than ten years has been dealing with the repercussions of having a criminal disclosure on his records...