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Enforcement Defense

Enforcement Defense

Investigations initiated by financial industry enforcement bodies—including FINRA, the SEC, state regulators, and the CFP Board—demand a legal defense that is precise and strategic. In these inquiries, every word is evidence.

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

Enforcement Defense

Investigations initiated by financial industry enforcement bodies—including FINRA, the SEC, state regulators, and the CFP Board—demand a legal defense that is precise and strategic. In these inquiries, every word is evidence.

Your Defense Against
FINRA & State Inquiries


Regulatory enforcement investigations, which start with a simple inquiry, can escalate rapidly, potentially resulting in career-altering consequences: public disclosures, suspensions, fines, or even being barred from the financial services industry.

Given the high stakes, it is crucial to respond promptly, consistently, and with legal precision. A financial professional should always retain experienced legal counsel at every stage of this process.

No other challenge in your career will prompt AdvisorLaw to work harder at protecting your livelihood than when you are subject to an investigation by FINRA, the SEC, a state authority, or a licensing board (such as the CFP Board).


Your Defense Against
FINRA & State Inquiries

Your Defense Against FINRA,
SEC, & State Inquiries

Your Defense Against FINRA, SEC,
& State Inquiries


Regulatory enforcement investigations, which start with a simple inquiry, can escalate rapidly, potentially resulting in career-altering consequences: public disclosures, suspensions, fines, or even being barred from the financial services industry.

Given the high stakes, it is crucial to respond promptly, consistently, and with legal precision. A financial professional should always retain experienced legal counsel at every stage of this process.

No other challenge in your career will prompt AdvisorLaw to work harder at protecting your livelihood than when you are subject to an investigation by FINRA, the SEC, a state authority, or a licensing board (such as the CFP Board).


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⭐⭐⭐⭐⭐

    Understanding FINRA
    Investigations

    Understanding FINRA
    Investigations

    Understanding FINRA
    Investigations



    Phase 1

    Formal FINRA Rule 8210 Letter Inquiry

    • Rule 8210 letters are the initial stage of a FINRA enforcement investigation.
    • These letters, which often reference a Matter No. or Star No., are designed to gather preliminary information.
    • Crucially, Rule 8210 is your first notice that FINRA is building a case, and the information provided can and will be used against you later in the process.

    Phase 2

    Formal FINRA Enforcement Investigation

    • This stage is initiated when the response to the initial Rule 8210 inquiry merits a deeper review.
    • Investigations may also be opened simultaneously by other agencies, including State Attorneys General, securities regulators, and the CFP Board.

    Critical Note: Every action taken in an enforcement matter, from the initial inquiry onward, is designed for the authority to build a case against you. Admissions at any point can severely compromise future settlement or negotiation efforts and jeopardize your entire career.

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


    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

    Image

    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

    Filename: advisorlaw-legal-professional.jpg.

    Dalton Hodges

    Lead Administrative
    Law Assistant

    Image

    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

    Image

    Jason Kirkland

    Executive Director

    Image

    Peter Lindholm, J.D.

    Associate

    Image

    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

    Image

    Tyler Reynolds, J.D.

    Associate

    Image

    Ric Rivard

    Business Development Executive

    Image

    Sheyla Serrano

    Client Relations Manager

    Image

    Daniel Simms

    Account Development
    Representative

    Image

    Janay Simmons

    Administrative
    Law Assistant

    Image

    Carla Smith

    Discovery & Investor Services Manager

    Discovery & Investor
    Services Manager

    Image

    Michael Wunderlich

    Discovery & Investor
    Services Manager

    Discovery & Investor Services Manager

    Defining the Terms of
    Regulatory Enforcement

    Defining the Terms of
    Regulatory Enforcement

    Defining the Terms
    of
    Regulatory Enforcement


    Engage With
    Our Experts

    Engage With Our Experts

    Request a Private Consultation

    Request a Private Consultation

    Enforcement Defense | Contact Form (#98)

    Request a Private Consultation

    Schedule a complimentary consultation!

    Enforcement Defense | Contact Form (#98)