How to Prepare for the SEC’s 2022 Exams
RIA Compliance

How to Prepare for the SEC’s 2022 Exams

Contact Us Today! This year’s SEC examination priorities focused primarily on Standards of Conduct and whether advisers are acting consistently with their fiduciary duty to clients — exploring duties of...
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New Jersey Advisor Wipes Sole Customer Dispute From Records
Case Results & Wins

New Jersey Advisor Wipes Sole Customer Dispute From Records

Twenty-four years into his career, a New Jersey-based investment adviser representative and the former broker had no customer disputes on his public records — until August 2020, when he received...
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SEC & FINRA Regulation Best Interest Enforcement Bags First Victims
FINRA, SEC, State & CFP Board Enforcement

SEC & FINRA Regulation Best Interest Enforcement Bags First Victims

FINRA has carried out more than 600 firm exams since the implementation of Regulation Best Interest (Reg BI) in June 2020. Exactly a year later, the Securities and Exchange Commission...
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Wisconsin Advisor Wins Expungement Despite Customer Opposition
Case Results & Wins

Wisconsin Advisor Wins Expungement Despite Customer Opposition

A Wisconsin advisor who has been in the industry since 1996 had two customer disputes on his record — one of which dated back to ’98. Both disclosures included allegations...
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Maine Advisor Achieves Removal Of Firm-Opposed Termination
Case Results & Wins

Maine Advisor Achieves Removal Of Firm-Opposed Termination

An advisor in Maine who began his financial-services career nearly 20 years ago was terminated in 2019 — after nearly a decade with the firm. The advisor hired AdvisorLaw to...
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AdvisorLaw Response To FINRA’s Attempt To Decimate Expungement
FINRA Expungement & Arbitration FINRA, SEC, State & CFP Board Enforcement

AdvisorLaw Response To FINRA’s Attempt To Decimate Expungement

Last month, we publicized FINRA's new attempt at gutting the expungement process for advisors who wish to clear their records of meritless complaints (SR-FINRA-2022-024). The highlights of the proposed rule...
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SEC and DOL Implement Several Significant Changes
FINRA, SEC, State & CFP Board Enforcement RIA Compliance

SEC and DOL Implement Several Significant Changes

Contact Us Today! In the first half of 2022, the Securities & Exchange Commission and the Department of Labor implemented or proposed a number of significant changes to the regulatory...
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North Carolina Advisor Removes 20-Year-Old Settled Dispute
Case Results & Wins

North Carolina Advisor Removes 20-Year-Old Settled Dispute

A North Carolina-based advisor with over three decades of experience in the financial services industry had a 20-year-old customer dispute on his public record. The advisor hired AdvisorLaw to seek...
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Veteran Advisor Expunges Settled Customer Dispute Disclosure
Case Results & Wins

Veteran Advisor Expunges Settled Customer Dispute Disclosure

A New York advisor with nearly four decades in the financial services industry had a sole customer dispute on his public BrokerCheck record that had been settled for $350,000. He...
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Reviewing FINRA’s Annual Report Might Just Make You Want To Start An RIA
FINRA, SEC, State & CFP Board Enforcement RIA Setup & Registration Starting your own RIA

Reviewing FINRA’s Annual Report Might Just Make You Want To Start An RIA

Contact Us Today! FINRA just released its annual report. Every year at AdvisorLaw, we have a hard time reconciling the sheer amount of money floating around this self-regulatory organization (SRO)...
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Advisor Wins Expungement Of Dispute With $400,000 Settlement
Case Results & Wins

Advisor Wins Expungement Of Dispute With $400,000 Settlement

In 2019, an advisor in Massachusetts with 30 years of dedication to the industry was hit with a customer dispute claiming misrepresentation of fees. The firm settled the dispute for...
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Private Equity Rules Set To Change
FINRA, SEC, State & CFP Board Enforcement Private Funds RIA Compliance

Private Equity Rules Set To Change

A proposed rule that would strengthen the disclosure requirements and scrutiny of private fund advisors is being fought by investment advisors and RIA firms. The extended comment period has officially...
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FINRA Enforcement Trends & Updates
FINRA, SEC, State & CFP Board Enforcement

FINRA Enforcement Trends & Updates

FINRA-member firms and brokers across the U.S. have been under immense pressure over the last month since FINRA began its firm evaluations under the new FINRA Rule 4111. Broker-dealers are...
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Husband And Wife Achieve Expungement Of 4 Customer Claims
Case Results & Wins

Husband And Wife Achieve Expungement Of 4 Customer Claims

Two advisors — a husband and wife — each had two customer dispute disclosures on their records, all of which related to the same investment. They came to AdvisorLaw to...
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MedCap-Related Disclosure With A Large Settlement Expunged
Case Results & Wins

MedCap-Related Disclosure With A Large Settlement Expunged

One customer dispute sat on this L.A.-based advisor’s public record for 12 years. While he had no other disclosures listed, the claim included a slew of allegations against the advisor...
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How does AdvisorLaw charge for ongoing compliance?
RIA Compliance

How does AdvisorLaw charge for ongoing compliance?

https://www.youtube.com/watch?v=qlrjnQuEw0k Contact Us Today! AdvisorLaw stays ahead of SEC and state regulatory changes so that RIAs can focus on building and growing their business. Custom-tailored to each individual firm, we...
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Financial Consultant Restores Perfect Record With Expungement
Case Results & Wins

Financial Consultant Restores Perfect Record With Expungement

A 35-year veteran of the industry had a single disclosure on his otherwise-perfect record. The nearly 17-year-old claim alleged an omission of facts, sought damages of about $8,700 and had...
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What if I was wrongfully terminated by my broker-dealer?
FINRA Disputes & U5 Terminations

What if I was wrongfully terminated by my broker-dealer?

https://www.youtube.com/embed/HgOeQUmAIlk Contact Us Today! FINRA’s Form U5 filing requirement is a one-sided weapon that firms frequently employ in their attempts to obliterate financial advisors’ and wealth managers’ careers. We have...
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Three Key Factors To Consider Before Selling Your RIA
Mergers & Acquisitions Selling RIA Succession Planning

Three Key Factors To Consider Before Selling Your RIA

M&A activity is still at an all-time high, inspiring many advisers to sell their registered investment advisor practice or wealth management book of business. RIA merger and acquisition activity had...
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Louisiana Advisor Restores Record By Removing U5 Termination
Case Results & Wins

Louisiana Advisor Restores Record By Removing U5 Termination

A Louisiana-based advisor had one disclosure on his record — a Form U5 termination from 2009 alleging that he had “altered” a client’s variable annuity policy form. He hired AdvisorLaw...
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