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Disclosure Expungement: Clearing Your Professional Record 

Disclosure Expungement: Clearing Your Professional Record 

Negative disclosures on BrokerCheck, IAPD, IARD, and CRD are immediately accessible to prospective investors and employers—and they can severely impact your client acquisition and employment opportunities.

Legal gavel and block representing law and justice, symbolizing legal services and attorney expertise.

Disclosure Expungement: Clearing Your Professional Record 

Negative disclosures on BrokerCheck, IAPD, IARD, and CRD are immediately accessible to prospective investors and employers—and they can severely impact your client acquisition and employment opportunities.

Why Expungement is Essential for Your Career


With FINRA citing over 40 million visitors to BrokerCheck every year, the visibility of negative marks is a constant liability. The ease of locating these public disclosures means that clearing them is vital to accurately depicting your professional reputation and brand. Consider the cost: How much would even one prospective household lose due to a negative disclosure cost you over the lifetime of that account?

We are acutely aware that meritless investor complaints often tarnish the records of diligent financial professionals. Our team specializes in the process required to remove these damaging marks from BrokerCheck and the CRD.


Why Expungement is Essential for Your Career

Why Expungement is
Essential for Your Career


With FINRA citing over 40 million visitors to BrokerCheck every year, the visibility of negative marks is a constant liability. The ease of locating these public disclosures means that clearing them is vital to accurately depicting your professional reputation and brand. Consider the cost: How much would even one prospective household lose due to a negative disclosure cost you over the lifetime of that account?

We are acutely aware that meritless investor complaints often tarnish the records of diligent financial professionals. Our team specializes in the process required to remove these damaging marks from BrokerCheck and the CRD.


Professional legal advisor consulting with clients in a law office setting.

What Our Clients Say About Us

What Our Clients
Say About Us

"I had 2 frivolous disclosures on my record and asked AdvisorLaw to help me get them removed. They were successful in both cases. My experience was they were well organized and knowledgeable and most importantly they were effective at getting the job done. I highly recommend them."

- Glen Anderson ⭐⭐⭐⭐⭐

"Hiring the best = worth It! I hired AdvisorLaw in early 2020 to help me remove 1 termination and 3 customer claims from my BrokerCheck page. With Covid and the economy and everything else going on, I was worried about the expense. But the disclosures on my record were doing so much damage that I knew removing them could pay for itself."

- Sara McClain ⭐⭐⭐⭐⭐

"As I left a major wirehouse, I was unjustly and unfairly accused. The kind folks at AdvisorLaw guided me through the system. I had given up on clearing my name but they were able to handle everything honestly and with the regulators agreeing. I couldn't get it done by myself. Thank you!"

- Montee Sneed ⭐⭐⭐⭐⭐

"They were totally professional and we accomplished everything we set out to get clarified. It feels so good to have my name back. It is unfortunate that the system requires this process when you have nothing to do with a case. They were so organized and clearly explained the process and we got it done. I also gave their name to someone who had problems with a previous advisor. She was happy with her outcome."

- Damian Dering ⭐⭐⭐⭐⭐

"I worked with Advisor Law to have a frivolous complaint removed from Broker Check. While FINRA determined there was no validity to the complaint I needed to take action to clear my record.Advisor Law was easy to work with, did exactly what they said they would do, exactly when they said they would do it, and coached me through the process.While I never want to experience this type of event again, I would call them in a heart beat should the need arise."

- Mark Edwards⭐⭐⭐⭐⭐

"Great people to have in your corner. Very professional, knowledgeable, and results oriented. I'm glad they are on my team. When I needed defense over a bogus claim, they were amazing, and protected me and my team."

- Dean Owen⭐⭐⭐⭐⭐

"Advisor Law's knowledge, detail oriented, and expertise, are excellent. I had worked with an attorney previously and they did nothing compared to what Advisor Law was able to accomplish. Truely a professional organization who cared about my case, took responsibility and treated me with utmost respect. I recommend contacting Advisor Law and see if they can help your situation!"

- Patty Loris⭐⭐⭐⭐⭐

"Chelsea and the entire team were fantastic to deal with. Diligent and patient through a grinding process, and they really helped me through some challenges. So appreciate their help in providing justice to my records, comprehensive preparation for hearings and taking the reins in my expungement process. Thank You!!"

- Bob Krieger⭐⭐⭐⭐⭐

"Advisor Law was great to work with, and they made everything fast and easy. They helped me with my case, and a favorable outcome. The attorney they had me working with was professional, courteous, and knew what he was doing."

- Rinaldo Crassa⭐⭐⭐⭐⭐

"Wonderful experience with results exactly as advertised. They were able to clean up my U4 that were not reflective of my professional record."

- Thomas Clark⭐⭐⭐⭐⭐

"Advisor Law provided terrific service with my expungement cases. Their direct professional care was highly successful to remove nuisance records for me. I would highly recommend everyone at Advisor Law as the team effort yielded superior results."

- David Bindelglass⭐⭐⭐⭐⭐

    Professional legal consultation and personalized estate planning services provided by AdvisorLaw LLC. Expert advice for clients seeking reliable legal solutions.

    Customer Dispute Expungement

    Customer Dispute Expungement

    Customer Dispute Expungement


    While financial advisors historically sought expungement of customer disputes through the FINRA arbitration forum, recent changes to the rules have made this route highly impractical and often inadvisable.

    Pioneering Alternative Expungement Solutions

    AdvisorLaw has pioneered and perfected alternative means through which financial advisors can still achieve expungement relief that is no longer reasonably available through the traditional FINRA process.

    Through alternative methods, we employ specialized strategies to clean up your BrokerCheck and IAPD records. We regularly obtain orders requiring FINRA to remove disclosures like:

    • Customer Separation After Allegation (ESAA) marks
    • Unauthorized Trading, Suitability, and Misrepresentation
    • Failure to Supervise, Breach of Fiduciary Duty, and Negligence
    Our objective is to ensure your personal and professional reputation is accurately and fairly depicted to the public and the industry.

    Meet Your Experts

    Meet Your Experts



    Professional male attorney wearing a dark suit and glasses, standing against a dark background.

    Josh Barber

    CIO & Co-Founder

    CIO & Co-Founder

    Experienced attorney in business law and estate planning representing clients at AdvisorLaw LLC.

    Tad Burton, J.D.

    Managing Director
    of Client Relations

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    Jennifer Cox, J.D.

    Senior Associate

    Experienced legal professional in business law and estate planning at AdvisorLaw LLC, providing expert legal advisory services for clients seeking tailored legal solutions.

    Austin Davis, J.D.

    Senior Associate

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    Dalton Hodges

    Lead Administrative
    Law Assistant

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    Josephine Jiron

    Account Development
    Representative

    Professional male lawyer in a gray suit, emphasizing legal expertise and corporate law services at AdvisorLaw.

    Doc Kennedy, MBA, J.D.

    President & Co-Founder

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    Jason Kirkland

    Executive Director

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    Peter Lindholm, J.D.

    Associate

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    Meredith McNulty

    Account Development
    Manager

    Experienced attorney in professional legal services focused on law firm consultation and legal advice for businesses and individuals.

    Alex PadLa, J.D.

    Senior Associate

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    Sheyla Serrano

    Client Relations Manager

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    Daniel Simms

    Account Development
    Representative

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    Janay Simmons

    Administrative
    Law Assistant

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    Carla Smith

    Discovery & Investor Services Manager

    Discovery & Investor
    Services Manager

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    Michael Wunderlich

    Discovery & Investor
    Services Manager

    Discovery & Investor Services Manager

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    Terminations Disputes

    Termination Disputes

    Form U5 Termination Expungement


    A termination disclosure on your Form U5 (or an Employment Separation After Allegation mark) presents a significant hurdle. A single U5 termination disclosure can make transitioning to a new firm substantially more difficult and often results in reduced transition compensation.

    Crucially, neither your former nor current employer can unilaterally clear your CRD. Full expungement of a U5 termination disclosure must be granted by a FINRA arbitration panel.

    We meticulously analyze the facts surrounding your departure and aggressively pursue the arbitration process necessary to achieve the expungement of inaccurate or misleading termination disclosures.


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    Reputations
    Restored

    Reputations
    Restored

    Engage With Our Experts
    Highly professional attorneys at AdvisorLaw LLC providing expert legal advice on business, corporate, and estate planning services tailored to meet clients' needs.

    Criminal Expungement

    Criminal Disclosure Expungement

    Criminal Expungement


    Criminal disclosures, even for past offenses, can appear on your BrokerCheck and IAPD profiles, creating an unnecessary professional barrier.

    AdvisorLaw ensures you have the best possible legal representation in state court to expunge these disclosures. While rules vary by state, if eligible, we work to have records of past criminal offenses sealed or destroyed and subsequently removed from your CRD.

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    Advisors
    Defended

    Advisors
    Defended

    Engage With Our Experts
    Engage With
    Our Experts
    Engage With Our Experts

    Frequently Asked Questions



    Frequently Asked Questions



    Request a Private Consultation

    Request a Private Consultation

    Disclosure Expungement | Contact Form (#100)

    Request a Private Consultation

    Schedule a complimentary consultation!

    Disclosure Expungement | Contact Form (#100)