AdvisorLaw

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.

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.