

Have You Completed Your Annual SEC Review (Rule 206(4)-7)?
The annual compliance review (Rule 206(4)-7) is the single most critical task for any registered investment adviser (RIA). This is…
Michelle Atlas-Quinn, J.D.

Is your Form ADV Part 2 still compliant with the fiduciary duty?
Today’s registered investment advisor (RIA) operates under a constantly intensifying spotlight. At the heart of this scrutiny is the fiduciary…
Michelle Atlas-Quinn, J.D.

Three Disputes Cleared From Louisiana Rep’s Records
A registered representative (RR) in Louisiana pursued the removal of three inaccurate customer complaint disclosures from his CRD and BrokerCheck…
Doc Kennedy, MBA, J.D.

The Awkward Truth: Why Multi-Owner RIAs Need Outsourced CCO
For multi-owner RIAs, stop the CCO awkwardness. Our Outsourced CCO service provides neutral, expert oversight, reviewing partner compliance without compromising…
Michelle Atlas-Quinn, J.D.

CE Course: Insights for Advisors Considering Succession, Sale, or Growth through M&A
We’re excited to announce that Josh Barber from AdvisorLaw was recently featured on the Financial Experts Network (FEN) for a…
Josh Barber

FINRA Arbitrator Clears South Carolina Advisor’s Form U5 Termination Entry
A South Carolina-based financial advisor (FA) sought to erase a misleading Form U5 termination disclosure from her CRD and BrokerCheck…








