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.
Navigating The 2025 Regulatory Landscape: A Deep Dive Into SEC Examination Priorities For Investment Advisers
The Securities and Exchange Commission (SEC) has outlined its examination priorities for fiscal year 2025. Its heightened scrutiny necessitates a proactive approach to compliance. Our experts delve into the key...
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Seattle Advisor Clears 2023 Termination From CRD/BrokerCheck
This former advisor from Seattle began his financial services career in mid-1996, maintaining an impeccable record with no customer disputes or termination disclosures for nearly three decades. However, in March...
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Why Initiating Your Expungement Case Before Year-End Is Critical
As we approach the end of the year, it's crucial to act now to protect and enhance your professional reputation. Recent regulatory changes to FINRA's customer dispute expungement process have...
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Justice Through Expungement: Restoring Arizona Adviser’s Perfect Record
In 2021, this former broker and current investment adviser with six years of industry experience faced an unexpected termination accompanied by a termination disclosure. The disclosure alleged that she had...
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Essential Checklist For Financial Advisors Changing Firms
Changing firms is a significant decision for any financial advisor, whether you're a broker or hybrid. It requires careful planning and adherence to legal and ethical standards to ensure a...
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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 Disputes Expunged For 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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Why Human Expertise is Still the Only Guarantee for RIA Compliance in 2026
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 Damaging Termination 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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