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.
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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Michigan Advisor Restores Flawless Records With Dispute Expungement
Twenty years into his financial services career, this current investment adviser and former broker’s perfect records were stained with a settled customer dispute disclosure. In hopes of restoring his once-perfect...
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Denver Advisor’s Perfect Record Reinstated With Expungement
Halfway through his 28th year in the financial services industry, this Colorado-based advisor was terminated and slapped with a termination disclosure alleging that he violated the firm’s non-cash compensation policy....
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Protect Your Brokerage License: Navigating Criminal Disclosures
A criminal record, often comprised of outdated or juvenile acts, can significantly hinder a financial advisor's career. Unlike many professions, the financial services industry uniquely requires public disclosure of criminal...
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Off-Channel Chatter: The New RIA Compliance Nightmare
For years, financial firms have wrestled with the complexities of advertising and marketing rules. This compliance behemoth casts a long shadow over every brochure, social media post, and email blast....
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Washington Advisor’s False, Damaging Termination Fully Expunged
In 2015, 20 years into her career in the financial services industry, this advisor was terminated by CUNA Brokerage Services after only five months with the firm. CUNA then published...
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RIA Registration For Financial Advisors: A Seamless Transition
The decision to transition from a broker-dealer to a stand-alone registered investment advisor (RIA) is a significant step for financial advisors. While it offers increased independence and the ability to...
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Cybersecurity Compliance For RIAs In The Age Of Increased Scrutiny
The recent $10 million fine levied against the Intercontinental Exchange (ICE) for a delayed cybersecurity incident report serves as a stark warning for registered investment advisors (RIAs). The SEC's message...
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LA Advisor’s 22-Year-Old, Denied Customer Dispute Expunged In FINRA Arbitration
An LA-based financial advisor who has been in the industry for more than 30 years had one disclosure on his otherwise perfect records. While the claim had been dismissed, it...
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Idaho Advisor’s Customer Dispute Disclosure With $295,000 Settlement Expunged
About 12 years into his career in the financial services industry, this Idaho-based advisor’s perfect record was stained by a customer dispute with serious allegations and a settlement of nearly...
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Unsuitability Claims: Navigating Investor Expectations
The financial advisory industry operates in a complex regulatory environment, where the potential for misunderstandings and disputes can arise. One such area of contention is the concept of "suitability." While...
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DC Advisor Wins Expungement Of 2017 Termination
This current investment adviser representative (IAR) and previous broker, located in Washington, DC, had one disclosure in her 23 years in the industry. The mark was a termination disclosure from...
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Wisconsin Advisor Wins Expungement Of Termination Despite LPL Opposition
More than 22 years into his career in the financial services industry, this Wisconsin-based financial advisor was terminated by LPL — and his pristine record was scarred with an “employment...
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