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.
Bay Area Advisor Restores Perfect, 30-Year BrokerCheck Records With Termination Expungement
Over the past 30 years, this California Bay Area advisor maintained perfect records in the industry — except for a sole disclosure from 2011. After 11 years with the firm,...
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Starting Your RIA: Considerations For New Advisors
Launching your own registered investment advisor (RIA) is an exciting process that involves clear planning and decision-making. With AdvisorLaw’s specialized registration package, we recommend planning for a 60-to-90-day timeframe to...
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Why Outsourcing Your Chief Compliance Officer Is A Game-Changer
In the high-stakes world of registered investment advisers (RIAs), navigating the ever-evolving regulatory landscape can feel like traversing a minefield — blindfolded. Compliance is no longer a checkbox exercise. It's...
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Arkansas Advisor Expunges Termination Tied To 5 Disputes
A former broker and investment adviser who began his career in 1993 maintained a consistent employment record — until his abrupt termination in 2023, after 20 years in the industry....
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Unregistered CA Advisor Wins Expungement Of Damaging Termination
This California-based former investment adviser and broker had an excellent record of over a decade of industry experience. However, a termination disclosure from 2019 hindered her ability to progress in...
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The Importance Of Trusted Contact Information
Registered investment advisors’ duty of care carries many responsibilities, and one of growing importance to the SEC is obtaining trusted contact information. While both clients and investment adviser representatives (“IARs”)...
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Misrepresentation: A Common Pitfall For Brokers
Misrepresentation, a violation of FINRA Rule 2020, is a serious offense that can have significant consequences for brokers. This rule prohibits brokers from using manipulative or deceptive devices when selling...
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Navigating The 2025 Regulatory Landscape: A Deep Dive Into SEC Examination Priorities For Investment Advisers
The Securities and Exchange Commission (SEC) has outlined its examination priorities for fiscal year 2025. Its heightened scrutiny necessitates a proactive approach to compliance. Our experts delve into the key...
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Seattle Advisor Clears 2023 Termination From CRD/BrokerCheck
This former advisor from Seattle began his financial services career in mid-1996, maintaining an impeccable record with no customer disputes or termination disclosures for nearly three decades. However, in March...
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Why Initiating Your Expungement Case Before Year-End Is Critical
As we approach the end of the year, it's crucial to act now to protect and enhance your professional reputation. Recent regulatory changes to FINRA's customer dispute expungement process have...
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Justice Through Expungement: Restoring Arizona Adviser’s Perfect Record
In 2021, this former broker and current investment adviser with six years of industry experience faced an unexpected termination accompanied by a termination disclosure. The disclosure alleged that she had...
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Essential Checklist For Financial Advisors Changing Firms
Changing firms is a significant decision for any financial advisor, whether you're a broker or hybrid. It requires careful planning and adherence to legal and ethical standards to ensure a...
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Expungement Victory For Chicago Investment Adviser
A current investment adviser and former broker based in Chicago, this individual has been active in the financial industry since mid-2007. Hoping to clear a customer dispute from his CRD,...
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Understanding The SEC’s Political Contribution Rule
As we approach another election cycle, registered investment advisors should be aware of the specific regulations governing political contributions. The SEC's Rule 206(4)-5, commonly known as the "pay-to-play" rule, is...
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Four Customer Disputes Expunged For LA-Based Investment Adviser
This LA-based investment adviser and former broker had amassed four customer disputes on his public BrokerCheck record since he began his career in the industry in 1996. Hoping to clean...
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Florida Advisor Clears Records With Expungement Of Five Disputes
Contact Us Today! Award Date: October 18, 2024Claimant Representative: Harris Freedman, J.D.Respondent Firm: G.F. Investment Services, LLC Case Objective: An advisor in Florida who has been in the industry since...
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FINRA | Brokers FINRA Disputes & U5 Terminations FINRA Expungement & Arbitration SEC & State | RIAs & IARs
Banish The Ghosts Of Disputes Past: AdvisorLaw Expungement Week
AdvisorLaw understands that the presence of one or more customer disputes on your public record can be more than just a nuisance — it can be career-altering. That's why we...
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FINRA’s Focus On Minor Infractions: A Threat To Investor Protection?
As a financial advisor, your reputation is your most valuable asset. AdvisorLaw provides expert guidance and representation to help you navigate complex issues with confidence. From investor complaints to regulatory...
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When it comes to compliance, don’t be fooled by the AI mirage
The world of financial advising is abuzz with the potential of artificial intelligence (AI) — from crafting investment strategies to streamlining communication. While AI promises a revolution, it's crucial to...
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Missouri Advisor Clears Records Of Four Settled Customer Disputes
This Missouri-based advisor had accumulated four customer disputes on his public BrokerCheck record since entering the industry in 2011. All four disputes had been settled, and the advisor felt that...
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