AdvisorLaw

05/29/2026

For our monthly AdvisorLaw Spotlight, we are featuring Senior Associate Jennifer Cox, J.D., who brings 28 years of elite regulatory experience to our expungement team.

Having served as a primary liaison for FINRA and the SEC and as in-house counsel for a national firm, Jennifer possesses an insider’s understanding of the industry.

Her deep technical knowledge, backed by licenses (like the Series 24, 53, and 54) has allowed her to successfully clear numerous defamatory marks and false accusations from our clients’ records.

When a career’s reputation is at stake, Jennifer’s background makes her a powerhouse advocate for restoring the advisor’s professional standing. 🛡️🏛️

05/28/2026

Your client list is your firm’s value. Is it actually protected?

The most expensive mistake an RIA owner can make happens after an advisor leaves the firm. Without a robust IAR agreement, client ownership is just an opinion—not a legal fact.

A truly defensible IAR agreement defines:

✅ ownership of relationships: clear, non-ambiguous clauses for firm stability
✅ supervisory structure: explicit reporting lines for audit readiness
✅ representations & warranties: keeping licenses and ethical standards current.

AdvisorLaw’s securities attorneys don’t do generic. We draft industry-specific protections that align with current regulatory expectations.

Protect your book. Protect your exit value. Protect your practice.

🔗 https://advisorlawllc.com/ria-compliance-generic-iar-agreement-risk

05/27/2026

Thirty years in the industry, one lingering mark from 1997: not exactly the legacy you want to leave behind.

This veteran advisor wanted a professional record that finally matched his reputation. Leveraging recent shifts in California law, Tad Burton, J.D., successfully petitioned FINRA to delete the decades-old disclosure entirely.

Whether you are planning a practice sale or eyeing retirement, your final chapter deserves a clean slate. Finish strong with the narrative you’ve earned. 🛡️

🔗 https://advisorlawllc.com/california-advisor-expunges-old-criminal-record/

California Advisor Successfully Expunges Old Drug Charge From BrokerCheck Record. Recent law allows removal of certain non-convicted charges. Learn how AdvisorLaw helped this advisor clear his record after 30 years.

05/26/2026

With the June Reg S-P deadline weeks away, how confident are you in your vendor oversight?

05/22/2026

Your vendor has 72 hours to tell you they’ve been breached. Do you have a documented process to hold them to it? 🚩

The most common deficiency letter doesn’t start with a bad vendor choice—it starts with a lack of ongoing oversight.

Vendor risk management is no longer a “set-it-and-forget-it” task. If you don’t have a dated, signed oversight log for every piece of third-party tech you use, you’re flying blind in the eyes of the regulator.

Stop guessing, and start documenting. AdvisorLaw provides the expertise to move your VRM from a blind spot to a business asset. 🔗

Is your CRM or cloud provider an SEC liability? Learn the 4 pillars of RIA Vendor Risk Management (VRM) to satisfy Regulation S-P and 2026 SEC examination priorities.

05/21/2026

Your vision for client service shouldn’t be limited by someone else’s brand.

Most advisors dream of true fiduciary freedom. But the complexity of "RIA registration" often keeps that dream on the shelf.

It doesn't have to be a full-time job to launch your firm. We've simplified the roadmap so you can focus on building relationships while we handle the regulatory heavy lifting.

Read our Ultimate Guide to starting your RIA and take the first step toward independence. ➡️https://advisorlawllc.com/how-to-start-an-ria-the-ultimate-guide-for-financial-advisors/

Thinking about starting your own RIA? Don't let the complex registration process hold you back. Discover how our flat-rate package and expert guidance make launching your firm achievable.

05/20/2026

In Denver, a veteran advisor faced a $50,000 claim over a fixed annuity. The allegation? The clients weren’t told the funds wouldn’t pass to beneficiaries. The reality? The advisor had the receipts.

By leveraging meticulous meeting notes and the original contract language, Jennifer Cox, J.D., proved that the advisor had explained the terms exactly as they were written. The FINRA Panel didn’t just disagree with the client—they ruled the claim “clearly erroneous” and ordered a total record cleanup.

In this industry, your ethics are only as strong as your documentation. If a client’s misunderstanding is threatening your two-decade legacy, it’s time to set the record straight.

🔗 https://advisorlawllc.com/finra-clears-annuity-allegation-colorado-advisor/

A seasoned Colorado financial advisor successfully cleared an erroneous annuity beneficiary claim from his record. A FINRA Panel ruled the customer allegations were “clearly erroneous,” restoring his 23-year career integrity.

05/19/2026

Are you really auditing your business partner’s text messages? 📱🛑

In multi-owner RIAs, that awkward, partner-on-partner policing can be a regulatory trap. Human nature makes us soften scrutiny for our co-founders, but the SEC calls that “compromised objectivity.”

In 2026, examiners are laser-focused on off-channel comms and personal trades. If you’re playing compliance cop to the person with whom you share profits, you’re straining the partnership and inviting a deficiency letter.

AdvisorLaw’s Outsourced CCO service provides the objective, expert oversight that preserves your relationship while satisfying the regulator.

Stop policing your partners. Start growing your firm. 🛡️
🔗 https://advisorlawllc.com/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 professional relationships or risking regulatory gaps.

05/15/2026

With nearly two dozen jurisdictions now enforcing the IAR CE model rule, industry estimates suggest that thousands of advisors began 2026 with a CE inactive status—putting their registrations on a two-year countdown to termination.

AdvisorLaw’s compliance team specializes in auditing firms’ status to catch these gaps before they become public-facing red flags. Through our partnership with the Financial Experts Network, we provide our clients a direct path to the credits they need to stay active and audit-ready.

Don’t let a 12-hour requirement turn into a permanent mark on your record. Let’s audit your status today. 🛡️https://advisorlawllc.com/category/ce-credit-course/

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05/14/2026

Your firm’s most valuable asset is its client list. Is it actually protected?

Generic IAR agreements—or worse, having no agreement at all—are a massive compliance blind spot. Most templates miss nearly 80% of the specialized clauses needed to define client ownership and supervisory duties.

Don’t wait for a departing advisor or SEC audit to find the holes in your contract.

AdvisorLaw’s securities attorneys help you build defensible, industry-specific frameworks to protect your practice’s value. 🛡️

🔗 https://advisorlawllc.com/risk-of-generic-iar-agreements-ria-compliance/

Protect your RIA from litigation and audits. Learn why generic IAR agreements fail and the 5 essential elements every robust rep contract must include.

05/13/2026

A Georgia advisor’s spotless, 20-year career was nearly derailed by a client’s $1.5M mismanagement claim. The reality? The client had simply outspent her own $1.3M portfolio.

The Win: AdvisorLaw’s Austin Davis, J.D. and Dochtor Kennedy, MBA, J.D. proved that the allegations were:

❌ “Factually impossible”
❌ “Clearly erroneous”
❌ “False”

The FINRA Panel unanimously ordered full expungement, clearing the advisor’s BrokerCheck and CRD records.

A firm’s economic settlement shouldn’t be a permanent blow to your reputation. If your record doesn’t reflect the truth, we can help.

👉 Read More: https://advisorlawllc.com/finra-expungement-georgia-financial-advisor/

A Georgia financial advisor successfully clears her record of a meritless $1.5 million mismanagement claim. A FINRA Panel ruled the allegations factually false, recommending full expungement.