Frequently Asked Questions Frequently Asked Questions New DisputesCustomer DisputesU5 TerminationsTax Disclosures Disclosure ExpungementU4 Customer Dispute ExpungementU5 Termination ExpungementTax Lien ExpungementCriminal Disclosure Expungement FINRA/SEC InvestigationsFINRA InquiriesAcceptance, Waiver, & Consent OrderWells NoticeStatutory Disqualification M&A/LendingPractice Purchase Network (PPN)RIA or Practice ValuationAcquisition Lending Tax Lien Resolution RIA ServicesRIA Registration & SetupRIA Ongoing Compliance General ▸ Whom does AdvisorLaw represent? AdvisorLaw represents all financial …
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RIA Compliance
RIA Compliance Complimentary Consultation RIA Compliance Complimentary Consultation AdvisorLaw offers ongoing compliance consulting support to wealth managers and Registered Investment Advisers (RIA) firms with a combined $50+ billion in assets. Is your current online “RIA template service” leaving you feeling exposed to a potential audit? Are you confident that your ADV/CRS forms are compliant and will stand up to …
FINRA Is Jacking Up The Cost Of Expungement For Brokers
Proposed rule changes in front of the SEC exponentially increase the minimum fees for FINRA disclosure expungement from $50 to $1,575. So, a typical expungement case would ultimately jump from $768 to well over $10,000. As we previously warned, on February 7, 2020, FINRA issued a Rule Filing Status Report (SR-FINRA-2020-005). The 219-page status report provides some insight into the …
Which Firm Handles the Most FINRA Expungement Cases Filed by Financial Advisors?
We don’t expect you to keep your finger on the pulse of the advisor-defense industry. So let us quickly bring you up to speed on the most crucial element that advisors seek when it comes to FINRA expungement of customer disputes and U5 termination disclosures–RESULTS.
What if Compliance Accuses You of a Firm Policy Violation?
On Wednesday, while on vacation, an advisor got a call from his broker-dealer’s compliance department. It was from a young woman who was fairly new to the compliance team. She accused him of altering client-signed documents and cutting and pasting a client signature. In essence, the financial advisor was being accused of fraud.