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 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 FINRA 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.
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
- 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
- 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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