AdvisorLaw

⚠️ Attention Financial Advisors!⚠️ Is an outdated criminal disclosure holding you back? From July 22nd to 26th, AdvisorLaw is offering special pricing on our expungement services to help you achieve a clean slate and boost your career. Here's what you get: ✅Clear inaccurate or irrelevant information on your record. ✅Attract clients and employers with a clean record that reflects your true capabilities. ✅Unlock exciting new career opportunities without limitations. Don't miss this chance! ⏳Register today for a complimentary consultation and learn how AdvisorLaw can help you achieve a brighter future. ➡️https://lnkd.in/gR39w4Np #CriminalExpungementWeek #FinancialAdvisors #CleanSlate #CareerGoals

Calling all IARs and RIAs! Fulfill your CE course requirements easily & affordably by partnering with AdvisorLaw!✅ Our experts offer comprehensive legal support and help you remain compliant with discounted IAR CE credits. Choose from live webinars or on-demand recordings to fit your schedule, all at a special rate just for our clients. Explore the benefits of AdvisorLaw's compliance services today! https://lnkd.in/giVAyrn

Are you a wirehouse advisor at a crossroads? The ground is shifting beneath many advisors, leaving them feeling exposed. Even top performers face unexpected exits. Is it time to take control? At AdvisorLaw, we help wirehouse advisors transition to an RIA model, gaining independence and the freedom to serve clients on their terms. Our latest industry insight asks 10 key questions to help you assess your situation and explore your options. #wirehouseadvisor #RIA

🏆A Texas financial advisor with nearly 25 years of experience faced an unfair termination and damaging disclosure due to circumstances beyond his control. The global pandemic disrupted his ability to meet unrealistic production requirements set before COVID hit. Erika Binnix, J.D. and Dochtor D. Kennedy, J.D. of AdvisorLaw fought to clean the advisor’s record! Through arbitration, we achieved a FULL EXPUNGEMENT of the termination disclosure. This means that the advisor can continue his career with a spotless record. Have you been impacted by unforeseen circumstances? We understand the challenges that financial advisors face. Let us help protect your record. Contact AdvisorLaw today for a free consultation, and see how we can fight for you! #FINRA #AwardWednesday #Expungement #FinancialAdvisor #CleanRecord #COVID19

Digital signatures are a game-changer, but with them comes a new layer of scrutiny from FINRA. Did you know that even well-intentioned actions can lead to violations? In our recent industry insight, AdvisorLaw delves deeply into: 🖋️ FINRA's growing focus on e-signature compliance ❌ Real-world examples of violations 🛡️ Proactive steps you can take to protect yourself Don't let a click cost your career! Read our full industry insight, and learn how to navigate the e-signature landscape safely. #FINRA #ESignatures #Compliance #FinancialAdvisor

We're taking a break to celebrate Independence Day! 🎆 AdvisorLaw will be closed today, Thursday, July 4th, and Friday, July 5th, in observance. We wish you a safe and enjoyable holiday weekend!

Congratulations to Peter Lindholm, J.D., and Owen Harnett, J.D. for successfully expunging an unfair customer dispute from a New Jersey advisor's record! 🏆 This advisor, with an impeccable 24-year career, had a single, denied customer dispute marring his record. Our team at HLBS Law stepped in to help him seek expungement through FINRA Dispute Resolution. Here's what happened: 🔹The advisor recommended an insured, structured CD, based on the client's profile. 🔹To purchase it, funds were transferred from the client's annuity, with tax withholding discussed beforehand. 🔹The client signed a form indicating his decision on tax withholding. 🔹A year later — surprise! The client alleged that he had incurred a $32,000 taxable event and requested compensation. 🔹The advisor's former firm investigated and sided with him, finding that the client had been aware of tax implications and withholding options. Peter and Owen fought to clean the advisor’s record. They presented strong arguments and evidence, clearly demonstrating the documented discussions and the firm's previous findings. The result? ⚖️ The arbitrator agreed, and the advisor's record will now be free of any disclosures! Facing a similar situation? We can help! Contact HLBS Law today for a consultation. #FinancialAdvisor #FINRA #Expungement #CustomerDispute #AdvisorRecord #AwardWednesday

We're thrilled to announce a successful client transition! 🚀 An advisor with nearly two decades of experience sensed an upcoming termination and sought our help. Here's the story: This advisor, aware of the industry's "weaponized U5" tactic, knew they needed to act fast. A typical recruiter might have jeopardized their clients. But AdvisorLaw's Jason Kirkland and his expertise made all the difference. Here's how AdvisorLaw helped: ⚠️ The advisor suspected termination and discreetly sought a new firm. 🪓 His current firm caught wind and threatened a "weaponized U5" to steal his clients. 🛡️ AdvisorLaw stepped in! We helped the advisor exit on his terms and land at a top-tier firm before any false accusations could be made. Facing a similar situation? With hundreds of U5 termination cases solved, AdvisorLaw can help you, too! We offer complimentary consultations to discuss your transition needs. Don't let a Form U5 termination disclosure derail your career! Contact AdvisorLaw today for a consultation, and protect your business. #U5 #FinancialAdvisor #TransitionPlanning #AdvisorLaw

We are proud to spotlight Harris Freedman, J.D., AdvisorLaw Senior Associate and the leading expert in the United States in financial advisor expungement cases. Licensed by the Florida Supreme Court, and able to represent clients across the country in arbitrations, Harris brings unmatched expertise and dedication to each case. What makes Harris Freedman, J.D. so good? ⚖️ Unparalleled Experience: Harris has acted as lead attorney on over 385 expungement cases, representing nearly 700 individual disclosures — more than any other attorney in the country. 🏆 Proven Success: His deep understanding of the complexities and unique fact patterns involved in expungement cases ensures the best possible outcome for our clients. It is a rare day when AdvisorLaw comes across a fact pattern that Harris has not already handled and successfully argued. 🛡️ Dedicated Service: Of our nearly 60-person firm, Harris is our most senior expungement attorney, focusing exclusively on helping financial advisors clear their records.  https://lnkd.in/gat8jaYT Choosing AdvisorLaw means partnering with the 800-pound gorilla in the industry and attorneys like Harris. Our commitment to excellence and forging the industry's most innovative pathways set us apart from the typical generalist firm. #AdvisorLaw #Expungement

The world of RIAs is booming, but compliance can be a minefield!⚠️ A single misstep can lead to hefty fines, reputational damage, and even legal trouble. At AdvisorLaw, we've seen it all. In our latest industry insight, we unveil the top 10 compliance pitfalls that can trip up even seasoned RIAs, along with actionable strategies to help you navigate the maze with confidence. Learn how to avoid these common mistakes and build a robust compliance program for your RIA➡️ https://lnkd.in/gEZ9zjuR #compliance #RIA #financialadvisors #investing #advisorlaw