AdvisorLaw

06/10/2026

Can you be blamed for an investment recommendation you never even made?

For one veteran New York advisor, market volatility in firm-managed accounts led to three meritless disclosures that haunted his record for years—even though the portfolio decisions were made by the firm, not the advisor.

AdvisorLaw’s Dochtor Kennedy, MBA, J.D. took the case to a FINRA panel, proving the claims “factually impossible” and “false.”

The result: a unanimous triple expungement and a perfectly clean record was restored.

Your professional legacy shouldn’t suffer because of market shifts or institutional decisions outside of your control.

If your record has been scarred by meritless complaints, it’s time to set the record straight. 🛡️⚖️

https://advisorlawllc.com/finra-panel-grants-triple-expungement-for-new-york-financial-advisor/

A New York financial advisor successfully cleared three meritless complaints from his record. A FINRA Panel ruled the allegations “factually impossible” as the advisor did not even select the investments in question.

06/09/2026

Is your sunset plan a formal legal agreement or just a handshake? 🌅

Many advisors spend decades building a practice, only to have their final payout delayed or reduced due to poorly drafted buy-sell agreements.

AdvisorLaw structures the legal framework for your exit to secure your retirement income and protect your legacy from post-sale disputes. Receive the value you earned. 📉💼

06/04/2026

Is FINRA about to make your Form U5 permanent? 🛑

We’re resharing this because the stakes couldn’t be higher. Regulatory Notice 26-06 isn’t more than modernization—it’s a plan to gut Form U5 expungement.

Proving Malice: Simply showing a statement is false won’t be enough. You’ll have to prove the firm acted with bad faith.

Firm Immunity: New safe harbor regulations could shield firms from the legal consequences of weaponized disclosures.

The 2023 Repeat: This follows the exact playbook used to restrict customer dispute expungements in October 2023.

The window to clear your name under today’s more favorable rules is closing fast. Don’t wait for the standards to shift against you. 🏛️⚖️

https://advisorlawllc.com/looming-threat-to-form-u5-expungement/

FINRA’s Regulatory Notice 26-06 could gut Form U5 expungement. Learn how proposed changes to defamation claims impact advisor reputations in 2026. Act now.

06/03/2026

Can a firm weaponize a Form U5 to stall your career move?

For one veteran Seattle advisor with nearly 30 years of impeccable service, that threat became a reality. Just as he was preparing to transition to a new role at Merrill Lynch, his firm abruptly terminated him and added a damaging disclosure to his BrokerCheck profile.

AdvisorLaw’s Peter Lindholm, J.D., took the fight to FINRA arbitration and secured a total victory. 🏛️⚖️

The Arbitrator ruled the firm’s claims “defamatory,” ordered the record cleared, and changed the termination type to “Voluntary.”

Your reputation is your most valuable asset—don’t let a retaliatory mark scar your legacy. 🛡️

https://advisorlawllc.com/seattle-advisor-clears-2023-termination-disclosure-from-crd-brokercheck/

A Seattle-based financial advisor, wrongfully terminated by Fidelity Brokerage Services, has successfully cleared a damaging Form U5 termination disclosure from their CRD and BrokerCheck records. With the help of AdvisorLaw, the advisor's reputation has been restored, allowing them to pursue new opp...

06/02/2026

Did you go independent to be an advisor or a full-time compliance officer?

AdvisorLaw’s OCCO-Lite service takes the regulatory weight off your shoulders with a dedicated analyst and attorney oversight.

Stop drowning in checklists, and start focusing on your growth and your vision again. 🚀🛡️https://advisorlawllc.com/introducing-occo-lite-compliance-without-the-headache/

Tired of compliance checklists? Meet OCCO-Lite, AdvisorLaw's new streamlined outsourced CCO service for RIAs. Get dedicated expert support, attorney oversight, and Nexus™ platform access—without the headache or high cost. Focus on growth, not compliance.

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.