AdvisorLaw

10/12/2026

A Michigan advisor carried a customer dispute on his BrokerCheck for nearly 12 years over a claim he was never named in. He didn’t sign the settlement or pay toward it. A FINRA Panel has now granted expungement.

A veteran Michigan financial advisor secured FINRA expungement of a 2014 unsuitability dispute after proving the claims were false.

10/07/2026

RIA valuations are leveling off, and most buyers expect them to hold flat through the rest of the year. But a cooling market isn’t the end of the line for sellers. Preparation, the right buyers, and the right deal structure still make a real difference in what you walk away with.

Full breakdown, including what drives premium valuations and how to read an offer:

10/02/2026

Kicking off October with a full slate of case wins, a few compliance deep-dives, and — hopefully — some actual fall weather in Denver.

09/30/2026

You haven’t managed their money in eight years, but you’re still blamed when the market drops? 🤯

That exact nightmare hit a Baton Rouge FA with a 20-year, spotless record. A client chose to self-manage in 2016, but blamed the advisor years later when a REIT—making up just 2.2% of their portfolio—faced market declines.

Hindsight bias didn’t win. Jennifer Cox, J.D. of AdvisorLaw stepped in, utilized pristine historic meeting notes, and secured a unanimous FINRA victory. The Panel officially ruled the allegations “clearly erroneous and false,” ordering a total expungement.

Your record is your livelihood. Don’t let old accounts dictate your future. Read our full award here: https://advisorlawllc.com/finra-expungement-award-baton-rouge-lpl-financial/

Read the FINRA arbitration award granting a total expungement of false REIT unsuitability allegations for a Baton Rouge financial advisor represented by AdvisorLaw.

09/29/2026

From The Courtroom, To Your Defense: Meet Tyler Reynolds, J.D. 🛡️

As Associate Attorney with AdvisorLaw’s Defense division, Tyler brings elite, razor-sharp litigation experience to the fight for financial advisors. He specializes in high-stakes regulatory challenges, including FINRA expungements, U5 terminations, and enforcement defense.

With a background as a former prosecutor, Tyler knows exactly how the opposing side builds a case. He leverages that inside-courtroom knowledge every single day to cut through the bureaucratic noise, dismantle unfair disclosures, and protect the livelihoods of independent wealth managers. 🏛️💼

Whether he’s clearing meritless customer disputes from a CRD or navigating aggressive regulatory inquiries, Tyler’s mission is clear: guarding the professional integrity and legacy of your practice.

Thank you for leading the charge on the defense line, Tyler!

09/25/2026

You didn’t build a successful wealth management practice to spend your weekends reviewing WSPs and auditing email archives. Yet too many independent advisors find themselves accidentally working a second, unpaid job as a part-time compliance officer.

When you are forced to split your focus, your growth stalls under a mountain of paperwork, and your regulatory blind spots increase.

AdvisorLaw takes that weight off your shoulders. We bring day-to-day compliance management, required filings, and active legal defense under one roof.

Let’s get compliance off your weekend schedule. Connect with AdvisorLaw to see how we streamline and protect independent practices.

09/24/2026

Is your marketing team accidentally creating an SEC nightmare? 🤖⚖️

AI is the ultimate buzzword, but right now, “AI washing” is a massive regulatory trap. If your marketing claims that your firm uses advanced technology, regulators want the data to prove it.

The current stakes are high.

Valuation Cuts: Buyers are applying 10%–15% risk discounts to unverified AI claims.
Audit Deadlines: SEC examiners are actively demanding formal AI governance policies and proof of human oversight.

Don’t let a catchy marketing hook turn into a legal liability. AdvisorLaw reviews your messaging and workflows before the SEC does, helping to protect your valuation and minimize regulatory risk.

👇 Read the full breakdown:

Is your marketing creating an SEC nightmare? Discover how the SEC AI marketing rule impacts your RIA’s disclosures, compliance audits, and firm valuation.

09/23/2026

A 12-year, flawless reputation was wiped out overnight over a simple e-signature misunderstanding. Sound familiar?

Imagine doing exactly what your clients asked you to do—with zero client complaints and absolutely no extra compensation—only to find yourself abruptly terminated.

That is exactly what happened to a veteran advisor whose firm hit his record with a devastating, defamatory Form U5 discharge disclosure.

When the system failed him, AdvisorLaw stepped in. Dochtor Kennedy, J.D., MBA and Peter Lindholm, J.D. took the case directly to the FINRA Dispute Resolution forum.

A single, unfair disclosure shouldn’t dictate the rest of your career. 👉 Protect your BrokerCheck profile, your livelihood, and your hard-earned reputation.

Contact AdvisorLaw today for a complimentary disclosure review.

FINRA Arbitration Success: AdvisorLaw Helps Client Overturn Termination and Regulatory Action. A South Dakota-based investment advisor representative was wrongfully terminated and faced regulatory disciplinary action. With the help of AdvisorLaw, the advisor successfully challenged the termination a...

09/22/2026

Don’t wait until the end of the year rush to check off your mandatory 12 hours of IAR CE credits. Through AdvisorLaw’s partnership with the Financial Experts Network (FEN), you can knock out your education requirements while gaining real-world compliance strategies to protect your firm.

Get your credits, protect your practice, and stay ahead of the regulators. 👉 https://advisorlawllc.com/category/ce-credit-course/

No mobile information will be shared with third parties/affiliates for marketing and/or promotional purposes. All other categories exclude text messaging originator opt-in data and consent; this information will not be shared with any third parties.

09/18/2026

FINRA’s latest dispute resolution statistics reveal a troubling trend for individual financial advisors and wealth managers: customer arbitration filings are up 24% this year.

The biggest red flag is that claims alleging breaches of Regulation BI are skyrocketing, with 215 cases already served through April.

Plaintiffs’ attorneys are aggressively testing the limits of Reg BI, turning routine market losses into complex, career-threatening disputes for individual advisors.

If a client files a grievance, it doesn’t just cost your firm money—it leaves a permanent mark on your personal CRD and BrokerCheck profile, threatening your livelihood and your hard-earned reputation.