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.
Minnesota Advisor’s Records Restored With 2011 Dispute Expungement
Approaching his 20th anniversary in the industry, this Minnesota-based advisor had a single customer dispute staining his otherwise spotless records. He hired AdvisorLaw to bring him through FINRA’s Dispute Resolution...
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Why SIFMA’s Proposed Form U5 Fix Could Hurt Financial Advisors
Financial advisors are increasingly finding themselves on the wrong side of defamation claims — thanks to inaccurate information on their Form U5. This form, filed with regulators, details the reasons...
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Texting Trouble: SEC Cracks Down On Unrecorded Communications
The Securities and Exchange Commission (SEC) is casting a watchful eye on unrecorded communications. Millions in fines have been levied against firms for failing to properly document conversations conducted through...
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Market Crash, False Claim Resolved: Advisor Achieves Perfect Record Through FINRA Expungement
This Florida-based adviser was living with a sole customer dispute from 2002 on his records. In an effort to restore his records to perfect by the time he reaches 30...
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Navigating Financial Advisory Transitions: A Comprehensive Guide
The decision to transition as a financial advisor is a significant one, marked by opportunities for growth and change. However, the process is not without its challenges — particularly when...
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Regulatory Shift? The Supreme Court Challenges SEC’s Authority
In a recent battle at the U.S. Supreme Court, the conservative justices expressed serious reservations about the Securities and Exchange Commission's (SEC) power regarding in-house enforcement proceedings. The issue has...
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FINRA Arbitrator Grants Expungement Of 2011 Customer Dispute For Illinois Advisor
An advisor in Illinois who began his career in the industry back in 2001 had a sole customer dispute on his CRD and public BrokerCheck records. The claim had been...
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E-Signatures: From Convenience To Compliance Minefield
Digital signatures have revolutionized the financial industry — streamlining processes and improving convenience. But with convenience comes risk, and the Financial Industry Regulatory Authority (FINRA) continues to sound the alarm...
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Tucson Advisor Granted Expungement Of Disputes — One Dating Back To 1994
A 38-year industry veteran in Tucson had two disclosures on his CRD and public BrokerCheck records. One was lodged by a customer in 2016, and the other dated back to...
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CFP Board To Publicly Disclose Disciplinary Records: Are You Prepared?
The Certified Financial Planner™ Board of Standards (CFP® Board) is shaking things up with a new policy that could significantly impact CFPs® and their clients. Here's a breakdown of the...
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College Prank No Longer Haunts Career: Advisor Expunges Old Graffiti Charge
An investment adviser representative out of Orange County, California spent 20 years in the industry with a glaring criminal disclosure on his public BrokerCheck record. Tired of living with the...
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Texas Advisor Removes Three, Outdated Disputes With FINRA Expungement
An advisor in Texas with over 30 years of industry experience had three lingering customer dispute disclosures on his record from 2002 and 2003. After spending more than 20 years...
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Clear Your Record: U5 Termination Expungement Week at AdvisorLaw
AdvisorLaw is gearing up for U5 Termination Expungement Week, a week-long initiative dedicated to helping advisors facing unfair U5 terminations. We understand the significant impact these inaccurate markings can have...
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RIA Marketing Minefield: How To Avoid SEC Scrutiny In 2024
Attention RIAs! The SEC's recent crackdown on marketing rule violations serves as a stark reminder: compliance is critical in today's evolving regulatory landscape. Don't get caught off-guard — AdvisorLaw is...
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Georgia Advisor Clears Record With Customer Dispute Expungement
Ten years into his career, in 2015, an advisor in Georgia was hit with a customer dispute disclosure. While the firm had denied the customer’s claim, an allegation that account...
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Clean Slate Achieved! California Law Helps Advisor Expunge Old Criminal Record
A California-based advisor who has spent more than 30 years in the industry had one glaring scar on his CRD and public BrokerCheck records: a criminal charge for possession. In...
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California Law Helps Advisor Expunge Old Drug Charge
A California-based advisor who has spent more than 30 years in the industry had one glaring scar on his CRD and public BrokerCheck records: a criminal charge for possession. To...
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Financial Advisor Transitions: Navigate Your Move with Confidence
As a financial advisor, you've meticulously nurtured your practice, cultivated client relationships, and built a solid reputation. Now you're contemplating a move — perhaps migrating to a new firm, charting...
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Florida Advisor Expunges Five GPB-Related Disclosures
Between 2019 and 2022, a Jacksonville, Florida-based advisor with over 30 years of dedication to the financial services industry collected 5 customer dispute disclosures on his public BrokerCheck record. All...
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Why Client Logins Are A Compliance Disaster (And How To Avoid One)
Imagine losing your clients' trust and facing hefty fines — all because of a seemingly harmless practice: sharing client login credentials. Five years ago, the industry sounded the alarm on...
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