AdvisorLaw

Is your sunset plan a formal legal agreement or just a handshake? 🌅

Many advisors spend decades building a practice, only to have their final payout delayed or reduced due to poorly drafted buy-sell agreements.

AdvisorLaw structures the legal framework for your exit to secure your retirement income and protect your legacy from post-sale disputes. Receive the value you earned. 📉💼

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/

Seattle Advisor Clears 2023 Termination 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...

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/

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.