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What Happens When An Investor Files Arbitration Against Me?

What Happens When An Investor Files Arbitration Against Me?

The arbitration process can be long and burdensome, with multiple pre-hearing conferences,...
How Can I Avoid a Lawsuit for Wrongful Termination?

I’m an RIA, and I Need to Fire an Employee. How Can I Avoid a Lawsuit for Wrongful Termination?

Are you an RIA who has questions about terminating an employee? Do you want to ensure that you...
4 Vital Components Of Your Contract | Atlanta, GA | My RIA Lawyer

Four Essential Contract Components for Breakaway RIAs

It may sound obvious, but before you consider becoming a breakaway RIA, it’s essential to...
The CFP Board Imposed Public Sanctions On 40 Individuals. Don’t Let This Happen To You!

The CFP Board Imposed Public Sanctions on 40 Individuals. Don’t Let This Happen to You!

If you’re an advisor who is also a Certified Financial Planner, the Certified Financial Planner...
Will the Biden Administration's SEC Enact More Regulations & Enforcement?

Will the Biden Administration’s SEC Enact More Regulations and Enforcement?

Will the Biden Administration’s SEC Enact More Regulations and Enforcement? Gary Gensler, the...
A guide for advisors on leveraging client testimonials effectively and compliantly under the updated SEC regulations.

How Advisors Can Use Client Testimonials Under New SEC Rule

Jeff Berman quotes Leila Shaver on the new Marketing Rule and what advisers can expect as the SEC...
Adviser Mergers And Acquisitions Are Rising

New SEC Rules Allow Financial Advisor Testimonials

Leila Shaver, securities attorney and founder of My RIA Lawyer in Atlanta, says advisors will have...
What RIA Must Know About the New SEC Modernized Marketing Rules

What Registered Investment Advisors Must Know About the New SEC Modernized Marketing Rules

What Registered Investment Advisors Must Know About the New SEC Modernized Marketing Rules Most...
What Is The SEC Focusing On In 2021? | My RIA Lawyer

What is the SEC focusing on in 2021?

What is the SEC focusing on in 2021? You may be wondering if you are on the list for an 

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