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.
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
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).

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.
Our Experts
Meet Your Experts
Meet Your Experts

Tad Burton, J.D.
Managing Director
of Client Relations

Jennifer Cox, J.D.
Senior Associate

Dalton Hodges
Lead Administrative
Law Assistant

Josephine Jiron
Account Development
Representative

Jason Kirkland
Executive Director

Meredith McNulty
Account Development
Manager

Tyler Reynolds, J.D.
Associate

Ric Rivard
Business Development Executive

Sheyla Serrano
Client Relations Manager

Daniel Simms
Account Development
Representative

Janay Simmons
Administrative
Law Assistant

Carla Smith
Discovery & Investor Services Manager
Discovery & Investor
Services Manager

Michael Wunderlich
Discovery & Investor
Services Manager
Discovery & Investor Services Manager
Frequently Asked Questions
Frequently Asked Questions
Frequently Asked Questions

FINRA Panel Grants Expungements Of Groundless Forgery Allegation

5 Areas Regulators Are Scrutinizing This ADV Season

FINRA Panel Awards Expungement, Erasing Meritless Complaint Over Unsolicited Outside Investment

Key Takeaways From SEC 2026 Examination Priorities

Fidelity Manager Challenges “Misleading” U5 Disclosure Over System Credential Sharing

FINRA Panel Grants Expungements Of Groundless Forgery Allegation

5 Areas Regulators Are Scrutinizing This ADV Season

FINRA Panel Awards Expungement, Erasing Meritless Complaint Over Unsolicited Outside Investment

Key Takeaways From SEC 2026 Examination Priorities

Fidelity Manager Challenges “Misleading” U5 Disclosure Over System Credential Sharing
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