Frequently Asked Questions (FAQs)

Why would I need to be registered with a broker-dealer or an investment adviser?

If you are earning compensation for helping an organization raise capital or advising on investment strategies, then I recommend that we discuss this.

What can I do when my regulator informs me that it is examining me/my firm?

Download my guide for practical tips on responding to a regulatory exam. If you would like specific advice on dealing with your regulator — regardless of whether it is FINRA, the SEC or a state regulator — feel free to contact me.

How can I remove disclosures on my BrokerCheck/Investment Adviser Public Disclosure report?

Your options depend on who made the disclosure. If your firm amended your Form U4 to report a customer complaint or the reason for your termination, you may be able to challenge this through a lawsuit or arbitration claim. However, if a regulator made the disclosure, your ability to remedy the situation is much more limited. Please contact me to discuss further.

Can you still help me if I am not registered with a broker-dealer or an investment adviser?

I can. I have helped a number of unregistered individuals address issues involving the Securities and Exchange Commission, the Financial Industry Regulatory Authority and state regulators. This includes advice concerning the “M&A Brokers Exemption” in the Securities Exchange Act. Please contact me to discuss.