

FINRA Arbitration: How One Advisor’s Fight Cleared His Record of an Old Annuity Claim
Sep. 18, 2025 FINRA Arbitration: How One Advisor’s Fight Cleared His Record of an Old Annuity ClaimSep. 18, 2025 The…
Doc Kennedy, MBA, J.D.

The High Cost of RIA Compliance Oversight: A Cautionary Tale
In the world of financial advising, trust and regulatory compliance are non-negotiable. Yet even with the best intentions, a single…
Michelle Atlas-Quinn, J.D.

CFP Board vs. BrokerCheck: A Battle for Advisor Fairness
Has an unproven BrokerCheck claim hurt your reputation? The CFP Board agrees the data is flawed. Discover how to challenge…
Doc Kennedy, MBA, J.D.

Why a “Dismissed” Claim Isn’t Enough: A Virginia Advisor’s Fight to Expunge His BrokerCheck Record
Sep. 18, 2025 FINRA Arbitration: How One Advisor’s Fight Cleared His Record of an Old Annuity ClaimSep. 18, 2025 The…
Doc Kennedy, MBA, J.D.

Outsourced CCO for RIAs: Is It SEC-Compliant?
Are RIAs allowed to outsource their CCO? Get clarity on SEC rules, proposed regulations, and the importance of an empowered,…
Michelle Atlas-Quinn, J.D.

Your 2025 RIA Compliance Checklist: Insights from a Leading Expert
Get insights on SEC priorities for 2025 from AdvisorLaw’s expert, Michelle Atlas-Quinn. Learn how to navigate compliance, fees, and client…