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.
Virginia Advisor Clears Records With Customer Disputes
In October 2024, a Virginia Beach-based advisor of ten years sought to rectify his professional record by pursuing expungement of two customer dispute disclosures listed on his Central Registration Depository...
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Advisor Clears Records With Successful Expungements
Over nearly 25 years in the industry, this Texas-based financial advisor (FA) acquired two customer disputes on his Central Registration Depository (CRD) and public BrokerCheck® records.
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Adviser Restores Clean Record With U5 Expungement
In July 2021, a San Francisco-based investment advisor and former broker faced a negative termination disclosure on his Central Registration Depository (CRD) and public BrokerCheck® records.
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AdvisorLaw Spotlight: Austin Davis, J.D.
Meet Austin Davis, Esq. — an invaluable associate attorney at AdvisorLaw. Austin has an impressive track record, having successfully cleared advisors' names in numerous expungement cases.
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Part 2: Strategies For Risk Mitigation & The Importance of Ongoing Reviews
In Part 1, we examined the complexities of SEC supervisory requirements and the risks faced by small RIAs. This second installment shifts to covering actionable strategies for crafting tailored compliance...
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CE Credit: Is It a Complaint? Protecting Your Career in Today’s Regulatory Climate
Is that client email a formal complaint? Master RIA complaint handling best practices. Learn U4 reporting triggers, E&O requirements, and expungement with AdvisorLaw
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Part 1: The Complexities Of RIA Supervision
Navigating RIA supervision? Discover the complex challenges small firms face, SEC requirements, and the risks of inadequate compliance in Part 1 of our series. Learn why robust oversight is crucial...
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Misleading Termination Expunged From Advisor’s Record
Financial advisor's misleading Edward Jones termination expunged from FINRA CRD & BrokerCheck. Learn how to clear false U5 disclosures & restore your career.
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Now Offering: Private Fund Formation & Ongoing Compliance Services
AdvisorLaw is excited to announce a comprehensive new service line tailored specifically for financial professionals looking to launch and manage private funds.
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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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CE Credit: Navigating the Complexities of Dual Registration as Investment Adviser Rep
As the financial regulatory landscape continues to shift, dual registration has become a critical—and often complex—reality for many advisors. We are proud to share this featured session from the Financial...
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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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