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.
The Weaponization Of U5 Terminations — A Visual Explanation
In June 2016, AdvisorLaw saw a glaring opportunity in the financial sector. Although the industry was rife with intelligent, hardworking, and well-intentioned folks, there were many hurdles for those working...
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Veteran Texas Advisor Clears Public Record of Dispute Disclosure
An advisor in Texas, in the middle of a now 33-year career in the industry, was hit with a customer dispute in 2020. He hired AdvisorLaw to seek expungement of...
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Virginia Advisor Wins Expungement Of DBSI-Related Claim
This Virginia-based Advisor with over 23 years of industry experience had a sole disclosure on his public BrokerCheck record. Seeking to reinstate his perfect records, he hired AdvisorLaw to support...
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Big Fines For Bad Records: How The SEC’s Recent Action Affects RIAs
The SEC's recent charges against 16 firms for recordkeeping failures serve as a stark warning for RIAs. Avoid costly penalties by understanding the key areas of non-compliance and taking proactive...
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Financial Advisor Exodus: 2024’s Biggest Trends & Your Strategic Move
As we analyze the intricate web of trends shaping the financial advisory landscape in 2024, the exodus of billion-dollar teams from major wirehouses emerges as a resounding theme in financial...
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Staying Compliant: Colorado’s 2024 Investment Adviser Examination Priorities
Colorado investment advisors, take action now! 2024 exam priorities released, impacting suitability, continuing education, recordkeeping & more. Get compliant & avoid risks with AdvisorLaw.
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Demystifying The Maze: Your Guide To RIA Compliance
The road to a thriving RIA firm isn't a straight and flat one that’s paved with roses — it's a bumpy labyrinth of regulations and ever-evolving compliance requirements. This guide...
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Utah Advisor Wipes Records Clean With Triple Customer Dispute Expungement
A registered rep in Utah with a 29-year career in the industry had three marks on his otherwise stellar public record. Two were customer disputes from 2008, and the third...
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Unlock Access To Industry Awards: How Negative Disclosure Expungement Can Propel Your Financial Advisory Career
In the fiercely competitive world of financial advising, a pristine reputation is your ticket to success. But even the most ethical and skilled advisors can find their careers hampered by...
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Ohio Advisor Wins Expungement Of Four Disclosures On His Public Record
After more than 30 years in the financial services industry, this Ohio-based advisor was ready to try his chance at expunging the only marks on his public record — four...
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New Mexico Advisor Wins Expungement Of NYSE Customer Dispute Filing
An Albuquerque-based financial advisor approaching 30 years in the industry had a single customer dispute disclosure on his records. The dispute was lodged in 2020 and denied by the firm,...
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Navigating Uncertainty: Key Considerations For Wealth Manager Exit Planning
As a wealth manager, ensuring the long-term well-being of your clients is paramount. But what about the future of your own business? A well-crafted RIA buy-sell agreement is vital to...
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Virginia Advisor Wins Expungement Of Covid-Related Claim From All Records
This Virginia-based financial advisor had made it 15 years into his career with a single customer dispute when he was hit with a second dispute in 2020 that resulted from...
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Form U5 Terminations: What To Expect & How To Protect Your Career
When a broker faces termination, it's not just the end of one chapter. It's the beginning of another — one that may involve Form U5 filings. These disclosures play a...
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Tax Liens & Your Financial Career: An Advisor’s Guide
As a financial advisor, maintaining a clean regulatory record is paramount to your professional success. One area that often catches advisors off-guard is the disclosure of negative financial events —...
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Southern-California Advisor Wins Expungement Of Internal Review Disclosure
In 2015, about 11 years into his career in financial services, this Southern-California-based advisor resigned from his broker-dealer firm and was subsequently sued by the firm. The firm then published...
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Outsourcing Your RIA Compliance To Experts —Always A Better Value
{{dc:post:title}}\n\n{{dc:post:publish_date format='M. d, Y'}}\n\n{{dc:author:display_name}}\n\n{{dc:author:bio}}\n\nIn the complex financial advisory landscape, adhering to regulatory standards, like the SEC's comprehensive marketing rule — spanning an extensive 430 pages alone — is crucial, but...
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Georgia Advisor’s Record Restored With Settled Customer Dispute Expungement
In 2021, this Georgia-based advisor was closing in on 20 years in the industry with a perfectly-clean record, when he was hit with a customer dispute alleging unsuitability and misrepresentation....
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Father/Son Team Wins Termination Disclosure Expungement & Over $500,000 Award In FINRA Arbitration
Two registered reps in Pennsylvania — a father and son — were both terminated from the firm, on the same date, for the same alleged reason. Each had been in...
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Deciphering The SEC’s Rule 204-2 For RIA Books & Records Requirements
The Securities and Exchange Commission (SEC) Rule 204-2 mandates that registered investment adviser (RIA) firms' books and records should be true, accurate, and current — whether they are stacked in...
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