Supervision is a critical aspect of maintaining integrity and compliance within the securities industry. To ensure the proper oversight of broker-dealer firms and their associated persons, the Financial Industry Regulatory...

An advisor out of Laguna Niguel, California had a perfect BrokerCheck record — aside from two customer disputes from nearly two decades prior. In hopes of achieving expungement through FINRA...

Have you ever wondered how much it would cost to start your own registered investment advisor (RIA) business? Launching an advisory firm comes with its own set of unique startup...

The landscape of the Department of Labor (DOL) fiduciary rule has seen significant changes in recent years, with ongoing debates and legal challenges shaping its implementation. In May 2023, the...

A Boca Raton-based advisor with over 35 years in the industry had seven customer disputes related to the same investment on his records. Hoping to clean up his record with...

In the competitive world of financial advising, finding the right firm that aligns with an advisor's goals and values can make a world of difference. AdvisorLaw recently facilitated a successful...

A New York-based advisor approaching his 40th year in the industry had three customer dispute disclosures that were more than a decade old on his public BrokerCheck and CRD records....

If you’re interested in buying a financial practice but need additional financing to get the ball rolling, there are a number of considerations to take into account. On this week’s...

In 2008, a near-30-year veteran of the industry in Texas with an otherwise-perfect record received two customer dispute disclosures related to the financial crisis at the time. In hopes of...

Join us for an exclusive webinar on M&A Due Diligence! Investing in mergers and acquisitions (M&A) can be highly rewarding, but it's essential to tread carefully. That's why AdvisorLaw and...

Financial advisors face a major decision when it comes to their professional future: whether to remain affiliated with their wirehouse or break away and start their own registered investment advisor...

The Securities and Exchange Commission (SEC) has decided to reopen the public comment period for the cybersecurity rule it initially proposed last year. This decision came on the same day...

The longer your career as a financial advisor, the higher your chances of being hit with the dreaded FINRA inquiry. That’s why it’s important to know exactly what will trigger...

The Financial Industry Regulatory Authority (FINRA) announced that effective June 1st, 2023, firms with a history of misconduct will be labeled with a "restricted" designation on BrokerCheck. This marker will...

In the five-year period between 1997 and 2002, this 35-plus-year veteran advisor in Boca Raton, Florida amassed five customer dispute disclosures on his CRD and public BrokerCheck records. After living...

Just five years into his career as a financial services professional, this advisor was terminated and hit with a disclosure alleging a violation of the firm’s expense policy. Wanting the...

Contact Us Today! Over the last five years, the number of registered investment advisors has significantly increased by more than 20%, causing the SEC to take notice. As a result,...

Contact Us Today! AdvisorLaw is pleased to announce a time-sensitive transition of a $650K-producing client of ours, to a national firm. After nearly two decades of experience in the industry,...

As a registered investment advisor (RIA) or RIA firm, it is crucial to prioritize compliance regulations to maintain your license and protect your clients. Staying up to date with the...

A 41-year industry veteran had a stellar public record — with the exception of a 2008 customer dispute. The claim had arisen out of auction rate security illiquidity in 2008....