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. This informative session features AdvisorLaw’s Michelle Atlas-Quinn who shares her insights on how advisors can apply the new regulations to their business practices. Whether you’re a seasoned advisor or just …
Financial Advisors Must Act Now To Remove False Disclosures
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 the Financial Industry Regulatory Authority’s (FINRA) Dispute Resolution forum. The disputed information can include allegations of misconduct, customer complaints, arbitration claims, and more. However, this right may soon become much more difficult to …
Advisors Fielding Unprecedented Wave Of New Investor Complaints
FINRA will release 2022 data early next year, but we can be sure that the precipitous fall of the market indexes is directly correlated to the number of investor complaints.
Expungement Week 2022
AdvisorLaw has dominated the FINRA arbitration environment since being branded the “800-pound gorilla.” We’ve successfully completed more advisor-initiated expungements than the rest of the industry combined. Over the past seven years, our efforts have resulted in the removal of more than 2,100 unjustified disclosures from the CRD, BrokerCheck, IARD, and IAPD records of financial professionals. This year, Doc Kennedy, MBA, …
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 take his one shot at achieving expungement of the disclosure through FINRA Dispute Resolution.
What Constitutes a Breach of Fiduciary Duty — Four Elements
When one party is entrusted with the care of funds or property and must act on behalf of another, a fiduciary duty is created. As the former party is obligated to act in good faith and in the best interest of the latter party, for their benefit, the former party becomes a fiduciary.