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....

Contact Us Today! It is common knowledge in the financial industry that brokers who work for independent broker-dealers (IBDs) are independent contractors, meaning that they are not employees of the...

This Chicago-based advisor’s career spans more than 35 years, and he had a perfect record, aside from one settled dispute from 2014. He wanted to take his shot at expunging...

Contact Us Today! Response by: President & Founder, Doc Kennedy, J.D., MBA AdvisorLaw’s expungement services were created out of a glaring need that I recognized while working with a financial...

In 2021, after two decades in the industry, this Oregon advisor was hit with two customer disputes alleging unsuitability. Both had been settled for relatively-nominal amounts, but the advisor wanted...

https://www.youtube.com/watch?v=LeR_Mxcw44g Contact Us Today! Did you know that there are more than 25 different types of disclosures that FINRA uses to mark up BrokerCheck records? This week, on "Ask An...

As he approached 30 years of experience in the financial services industry, this Houston-based advisor was blindsided by termination and a corresponding disclosure with allegations in 2021. Seeking to restore...

The rise of messaging apps has revolutionized the way we communicate, but their use in the financial sector has become a major compliance challenge for brokerage and advisory firms alike. 

Contact Us Today! AdvisorLaw is pleased to announce the transition of a $1 million-producing, husband-and-wife team, to a national firm. The independent firm veterans, who have over 50 years of...

More than 30 years into his career in the financial services industry, this Virginia-based Advisor had a stellar record, aside from two denied customer disputes that had hit his records...

We are excited to announce the release of our new Nexus Enterprise Platform demonstration! Nexus is specifically designed to help registered investment advisors (RIAs) to navigate the ever-increasing complexity of...

A Michigan-based investment advisor and former broker with nearly 30 years of experience in the industry had three customer disputes on his records. The disputes were lodged between 2008 and...

Contact Us Today! Financial advisors and their firms need to understand the significant impact that a history of disclosures can have on their errors and omissions (E&O) insurance premiums. What...

If you're an investment advisor looking to stay up-to-date on the latest changes and regulations for marketing, then you won't want to miss this webinar hosted by Myriad Advisor Solutions....

The financial advisory industry as we know it may be in jeopardy, due to a proposed Department of Labor (DOL) employment rule pertaining to an employee or independent contractor classification...

Contact Us Today! If you are a financial advisor or wealth manager with a public record, you have the right to seek the removal of false or inaccurate disclosures through...

Contact Us Today! AdvisorLaw recently facilitated the successful transition of a veteran financial advisor who had been seeking the expungement of a customer complaint. This advisor had over 20 years...

A previously-registered broker and current investment advisor in Denver had been in the industry since 2012. She had a perfect BrokerCheck record, aside from a 2017 Form U5 termination disclosure...