Our Expungement
Case Results
AdvisorLaw provides representation against all threats, including FINRA Enforcement, state regulators, the CFP Board, firm compliance, and retail investors.
CRD Disclosures Expunged
We only represent financial advisors and wealth managers. Many of these cases are resolved through settlements, alternative arbitration, or simple negotiation and many times are not able to be made publicly available due to the terms of the agreement.
One of the arenas of defense that does allow for republication of case results is through FINRA's Dispute Resolution Forum, which a majority of our expungement cases run through. Therefore, although not representative of all of our various dealings on behalf of advisors and wealth managers, the following cases are shown as a testament to our strength and market share in defending representatives this industry.
AdvisorLaw offers creative solutions to bring you a quicker turnaround, lower fees, and higher win-rates. We have the expertise on staff to defend your interests and maximize your profit.
All AdvisorLaw FINRA Expungement Cases:
Customer Dispute Expungement
We only represent financial advisors and wealth managers. Many of our cases are resolved through settlements, alternative arbitration, or simple negotiation — and oftentimes, these cases are not able to be made publicly available, due to the terms of an agreement.
One of the arenas of defense that does allow for republication of case results is FINRA's Dispute Resolution Forum, through which we run the majority of our FINRA expungement cases. So while not representative of all of our various dealings on behalf of advisors and wealth managers, the following cases are shown as a testament to our strength and market share in defending representatives this industry.
Take a look at all of AdvisorLaw's FINRA expungement cases:
AdvisorLaw offers creative solutions to bring you a quicker turnaround, lower fees, and higher win rates. We have the expertise on staff to defend your interests and maximize your profit.
CRD Disclosures Expunged
Do you have a meritless disclosure on your BrokerCheck, IAPD,
or CRD record?
Highlighted Cases
- Settled Customer Dispute Disclosure Expunged From Colorado Advisor’s Records
- New Jersey Advisor Wipes Sole Customer Dispute From His Public Records
- Texas Advisor Clears His Public Records With Expungement Of Two Customer Disputes
- Wisconsin Advisor Wins Expungement Of Two Disclosures Despite Customer Opposition
- North Carolina Advisor Achieves Expungement Of 20-Year-Old Settled Customer Dispute
- 36-Year Veteran Advisor Restores Perfect Record With Expungement Of Settled Customer Dispute Disclosure
- Advisor Wins Expungement Of 2019 Customer Dispute With $400,000 Settlement
- Husband And Wife Achieve Expungement Of Four Claims Relating To The Same Investment
- MedCap-Related Disclosure With A Large Settlement Expunged From Los Angeles Advisor’s Records
- 35-Year Veteran Financial Consultant Restores Perfect Record With Customer Dispute Expungement
- Sole Customer Dispute Expunged From Phoenix Advisor’s Records
- Four Settled Customer Dispute Disclosures Expunged From New Jersey Advisor’s Records
- Arbitrator Grants Expungement Of 20-Year-Old Customer Dispute With $225,000 Settlement
- Connecticut Advisor Achieves Expungement Of Three REIT-Related Disclosures
- Texas-Based Advisor Achieves Expungement Of Sole Customer Dispute From His Records
- Customer Dispute Expungement Restores San Jose Advisor’s Perfect Public Record
- Arbitrator Grants Expungement Of Three Disputes, Two Of Which Settled For Six-Figures
- Four Decades-Old FINRA Disclosures Expunged With No Settlement Agreements Produced
- Advisor In Texas Clears His Record Of Six Customer Disputes Dating Back To The 1990s
- Pennsylvania Advisor Clears His Records Of FINRA Disclosures
- Washington Advisor Wins Expungement Of Two Settled Customer Dispute Disclosures
- South Carolina-based Advisor Achieves FINRA Expungement Of Three Customer Disputes From His Records
- Arbitrator Awards FINRA Expungement Of Three, Heavily-Settled, Related Customer Disputes
- Ohio Advisor Restores His Spotless Record By Expunging A Meritless Customer Dispute
- Las Vegas Advisor Granted FINRA Expungement Of Two Customer Disputes Settled In Arbitration
- On Otherwise-Pristine Records, Financial Advisor Granted Expungement Of Sole Disclosure
- Florida Advisor Wins FINRA Expungement Of Settled Misrepresentation Dispute
- Advisor Granted FINRA Expungement Of Two Disclosures Over Ten Years Old
- Advisor Achieves FINRA Expungement Of 28-Year-Old, Settled Customer Dispute
- Advisor Achieves FINRA Expungement Of Two, Nearly $1 Million-Settled Customer Disputes
- Puerto Rico Advisor Wipes His Record Clean Of 14 P.R. Bond-Related Claims
- Unsuitability And Misrepresentation/Omission Disclosure Cleared From Broker’s Record
- Oregon Advisor Clears His Records Of Customer Disputes — Five Disclosures Expunged
- Advisor Prevails – Award/Judgment Customer Dispute Expunged
- California Advisor Wins FINRA Expungement Of 20-Year-Old, Settled Customer Dispute
- Advisor Expunges Three Customer Disputes, Clearing His Record
- Denied, VUL-Related Complaint Expunged After A Decade Of Disclosure
- Hybrid broker seeks to remove two customer disputes from BrokerCheck
- Repeat client seeks FINRA expungement of two remaining complaints
- Financial advisor seeks FINRA expungement of 30-year old customer complaint
- Financial advisor seeks to expunge six customer complaints over 30-years
- Texas advisor seeks to expunge five customer disputes from BrokerCheck
- Financial professional of 25 years seeks to expunge customer settlement
- Advisor requests removal of single denied customer dispute disclosure
- Advisor demands FINRA expungement of customer dispute
- Illinois financial advisor expunges 10-year-old customer complaint
- Two advisors seek combined FINRA expungement of customer complaint
- Advisor with 30-year career seeks FINRA expungement of 5 customer complaints
- Financial rep. & broker-dealer seek FINRA expungement of 8 customer dispute disclosures
- Seattle Advisor Wins Expungement Of Termination & Internal Review Disclosures
- Maine Advisor Achieves Expungement Of Firm-Opposed Termination Disclosure
- Louisiana Advisor Restores Perfect Public Records With Termination Disclosure Expungement
- Decade-Old Termination Disclosure Expunged From Michigan Advisor’s Records
- LA-Based Advisor Expunges Form U5 Termination Disclosure From 2013 — Clearing His Records
- Advisor Expunges A 2020 Termination Disclosure — Restores Perfect Records
- San Francisco Advisor Expunges Form U5 Termination Disclosure In Less Than One Year
- Advisor’s Perfect Records Restored With Expungement Of Termination & Internal Review Disclosures
- Arbitrator Recommends Expungement Of Unwarranted Form U5 Termination Disclosure
- Arizona Advisor And Wholesaler Wins Expungement Of Duplicate Form U5 Termination Disclosures
- FINRA Arbitrator Grants Expungement Of A 1991 Form U5 Termination Disclosure
- Form U5 Termination Disclosure Expunged From Veteran Advisor’s Records
- Arbitrator Grants Expungement Of 23-Year-Old Form U5 Termination & Internal Investigation Disclosures
- Veteran Advisor In Colorado Expunges Form U5 Termination Disclosure
- Advisor Back In Action With A Clean Record After Expunging A Form U5 Termination Disclosure
- Advisor Achieves Expungement Of A 2008 Form U5 Termination Disclosure
- 25-year veteran advisor terminated due to COVID-19 restrictions
- Financial advisor terminated for alleged firm violation
- 30-year Investment Advisor Representative seeks expungement of Form U5 disclosure
- Advisor seeks to expunge Form U5 termination from the CRD
- Young financial advisor seeks expungement of Form U5 disclosure
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