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proxy vote rules

3 Things You Need to Know About Proxy Voting for Your Clients

As a financial advisor, proxy voting for client investments falls under your fiduciary obligations....

The SEC's New Risk Alert for Newly Registered RIAs

The SEC’s New Risk Alert for Newly Registered RIAs

If you’re a financial advisor who recently registered as an investment advisor or...

10 things you SHOULD know about SEC investigations

What Every Advisor Should Know About SEC Investigations

No advisor desires to utter the feared word – investigation. The mere mention of it evokes...

changes to expungement rules

What to Know About FINRA’s Expungement Rule Changes

Advisors work hard, building trust and credibility with clients over years of dedicated service....

adding a partner to an existing business

What You Should Know Before Bringing on a Partner in Your Business

Before committing to a business partnership, you need to have crucial conversations. A partnership,...

finra arbitration process

8 Things to Know if You’ve Been Named in a FINRA Arbitration

Receiving notice that you’ve been named as a respondent in a FINRA arbitration case can induce...

sec investigations and enforcement actions

What to Do If You’re Under Securities Investigation: 10 Tips from a Securities Lawyer

As a financial advisor, receiving a notice or phone call indicating that you are the subject of an...

contracts when leaving your firm

Breaking Away: Understanding Contracts When Leaving Your Firm

Are you considering breaking away from your current firm? If so, you’re probably filled with...

Robo-advisers Aren’t Just For Millennials

Navigating an SEC Investigation: What to Expect and How to Protect Yourself

Discovering that you are the focus of an investigation by the Securities and Exchange Commission...