BrokerCheck & IAPD Expungement Services
The Internet makes it easy for prospective investors to learn about financial advisors’ employment history, as well as investor complaints, terminations, and regulatory violations.
Is your career suffering from unfair allegations of wrongdoing?
You're not alone. Investor complaints, regulatory investigations, and firm terminations can cost you clients and opportunities.
Regain control of your narrative.
Because of the immediacy and ease of locating these negative disclosures on either BrokerCheck or the IAPD, individual advisors benefit considerably from the expungement of a mark that is tarnishing their name and brand. These public disclosures are readily viewable by anyone with an internet connection.
Through alternative dispute resolution forums, such as AAA and JAMS, there are several means by which AdvisorLaw can clean up your BrokerCheck or IAPD so that your personal and professional reputation is accurately depicted to the public and industry observers.
What Our Clients Say About Us
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“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 ⭐⭐⭐⭐⭐
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“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 ⭐⭐⭐⭐⭐
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“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 ⭐⭐⭐⭐⭐
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“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 ⭐⭐⭐⭐⭐
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 ⭐⭐⭐⭐⭐
-
“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 ⭐⭐⭐⭐⭐
-
“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 ⭐⭐⭐⭐⭐
-
“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 ⭐⭐⭐⭐⭐
Your Team of Seasoned Experts
Protecting Your Career, Every Step of the Way
Tad Burton, J.D.
Managing Director
of Client Relations
Elena Chandler
Administrative
Law Assistant
Andrea Dejear
Account
Development
Representative
Harris Freedman, J.D.
Managing Director
of Client Relations
Kenneth Garcia
Document Processing
Coordinator
Hailey Harms
Administrative
Law Assistant
Dalton Hodges
Administrative
Law Assistant
Lisa Hurtado
Account
Development
Representative
Josephine Jiron
Account
Development
Representative
Jason Kirkland
Executive Director
Belle Kraxberger
Administrative
Law Assistant
Peter Lindholm, J.D.
Associate
Read Bio
Meredith McNulty
Account
Development
Manager
Tori Moyer
Client Relations Manager
Kristy Myers
Administrative
Law Assistant
Haley Piper
Administrative
Law Assistant
Crystal Rodriquez
Account
Development
Representative
Sheyla Serrano
Client Relations Manager
Janay Simmons
Administrative
Law Assistant
Carla Smith
Discovery & Investor
Services Manager
Michael Wunderlich
Discovery & Investor
Services Manager
Ryan Cohn, J.D.
Law Clerk
Andrea Dejear
Account
Development
Representative
Kenneth Garcia
Document Processing
Coordinator
Hailey Harms
Administrative
Law Assistant
Dalton Hodges
Administrative
Law Assistant
Lisa Hurtado
Account
Development
Representative
Josephine Jiron
Account
Development
Representative
Jason Kirkland
Executive Director
Belle Kraxberger
Administrative
Law Assistant
Meredith McNulty
Account
Development
Manager
Kristy Myers
Administrative
Law Assistant
Haley Piper
Administrative
Law Assistant
Crystal Rodriquez
Account
Development
Representative
Sheyla Serrano
Client Relations Manager
Janay Simmons
Administrative
Law Assistant
Carla Smith
Account
Development
Representative
Michael Wunderlich
Discovery & Investor
Services Manager
Tad Burton, J.D.
Managing Director
of Client Relations
Elena Chandler
Administrative
Law Assistant
Andrea Dejear
Account
Development
Representative
Harris Freedman, J.D.
Managing Director
of Client Relations
Kenneth Garcia
Document Processing
Coordinator
Hailey Harms
Administrative
Law Assistant
Dalton Hodges
Administrative
Law Assistant
Lisa Hurtado
Account
Development
Representative
Ryan Cohn, J.D.
Law Clerk
Andrea Dejear
Account
Development
Representative
Josephine Jiron
Account
Development
Representative
Jason Kirkland
Executive Director
Belle Kraxberger
Administrative
Law Assistant
Peter Lindholm, J.D.
Associate
Read Bio
Meredith McNulty
Account
Development
Manager
Tori Moyer
Client Relations Manager
Kristy Myers
Administrative
Law Assistant
Haley Piper
Administrative
Law Assistant
Crystal Rodriquez
Account
Development
Representative
Sheyla Serrano
Client Relations Manager
Janay Simmons
Administrative
Law Assistant
Carla Smith
Discovery & Investor
Services Manager
Michael Wunderlich
Discovery & Investor
Services Manager
Hailey Harms
Administrative
Law Assistant
Dalton Hodges
Administrative
Law Assistant
Lisa Hurtado
Account
Development
Representative
Josephine Jiron
Account
Development
Representative
Jason Kirkland
Executive Director
Belle Kraxberger
Administrative
Law Assistant
Meredith McNulty
Account
Development
Manager
Kristy Myers
Administrative
Law Assistant
Haley Piper
Administrative
Law Assistant
Crystal Rodriquez
Account
Development
Representative
Sheyla Serrano
Client Relations Manager
Janay Simmons
Administrative
Law Assistant
Carla Smith
Account
Development
Representative
Michael Wunderlich
Discovery & Investor
Services Manager
Harris Freedman, J.D.
Managing Director
of Client Relations
Kenneth Garcia
Document Processing
Coordinator
Hailey Harms
Administrative
Law Assistant
Dalton Hodges
Administrative
Law Assistant
Lisa Hurtado
Account
Development
Representative
Josephine Jiron
Account
Development
Representative
Jason Kirkland
Executive Director
Belle Kraxberger
Administrative
Law Assistant
Meredith McNulty
Account
Development
Manager
Kristy Myers
Administrative
Law Assistant
Haley Piper
Administrative
Law Assistant
Crystal Rodriquez
Account
Development
Representative
Sheyla Serrano
Client Relations Manager
Janay Simmons
Administrative
Law Assistant
Carla Smith
Account
Development
Representative
Michael Wunderlich
Discovery & Investor
Services Manager
Customer Dispute Expungement
Our staff is well versed in the process of obtaining relief requiring FINRA to remove these meritless investor complaints from BrokerCheck and the CRD (Form U4 and Form U5 Termination Disclosures, or Customer Separation after Allegation) as if they never happened. Take a look at our recent Customer Dispute awards.
Unauthorized Trading, Investor Complaints, Failure to Supervise, Breach of Fiduciary Duty, Negligence, Suitability, and Misrepresentation disclosures - these may all qualify to be cleared from the CRD and IARD records the appropriate expungement process.
How much would losing even ONE prospective household cost you over the life span of the average account?
Criminal Expungement
AdvisorLaw provides the best possible representation in state court to expunge criminal disclosures that show up on BrokerCheck or the IAPD. Rules vary widely between states, and not everyone offers the ability to expunge old offenses. However, if available, financial advisors may qualify to have any record of past criminal offenses sealed or destroyed and subsequently removed from their CRD. Take a look at our recent Criminal Disclosure awards here.
Frequently Asked Questions
Whether you're a financial professional facing a potential disclosure on your BrokerCheck record, navigating a Form U5 termination, or require defense against FINRA regulatory action, AdvisorLaw can provide the experienced representation you need. Here, we answer some of the most common questions our clients have about these critical matters.
New disputes in the financial industry are disagreements between parties, usually a financial advisor and their employing firm, or the advisor and their client, in which FINRA has developed a forum to arbitrate or mediate the matter.
The decision to terminate advisors in the financial industry has been considered “weaponized” by many. Wrongful terminations are commonplace given conflicts over pay, alleged rule violations, firm politics, and large sums of revenue.
The remainder of the disputes take the form of a new complaint against a financial advisor by an investor attempting to reclaim losses. The most common allegations by investors are Breach of Fiduciary Duty, Negligence, Failure to Supervise, Misrepresentation, Suitability, Breach of Contract, Fraud, and Unauthorized Trading.
FINRA’s Enforcement Division is tasked with protecting investors by investigating the financial advisors it regulates to determine if they have broken any rules or regulations. Investigations may be opened through any number of pathways including terminations, customer complaints, and examinations.
In the cases where FINRA Enforcement finds evidence of rule violations, FINRA may bring disciplinary actions against the advisor for their conduct. These actions generally include monetary fines, suspensions, and even bars from the industry.
AdvisorLaw represents financial advisors from all 50 states and Puerto Rico. Through our unique business structure, AdvisorLaw has the ability to represent Investment Advisor Representatives (IARs), as well as traditional brokers, wherever they may reside domestically.
Through our affiliate partnerships, any administrative or legal route is available to our clients.
Frequently Asked Questions
Whether you're a financial professional facing a potential disclosure on your BrokerCheck record, navigating a Form U5 termination, or require defense against FINRA regulatory action, AdvisorLaw can provide the experienced representation you need. Here, we answer some of the most common questions our clients have about these critical matters.
New disputes in the financial industry are disagreements between parties, usually a financial advisor and their employing firm, or the advisor and their client, in which FINRA has developed a forum to arbitrate or mediate the matter.
The decision to terminate advisors in the financial industry has been considered “weaponized” by many. Wrongful terminations are commonplace given conflicts over pay, alleged rule violations, firm politics, and large sums of revenue.
The remainder of the disputes take the form of a new complaint against a financial advisor by an investor attempting to reclaim losses. The most common allegations by investors are Breach of Fiduciary Duty, Negligence, Failure to Supervise, Misrepresentation, Suitability, Breach of Contract, Fraud, and Unauthorized Trading.
FINRA’s Enforcement Division is tasked with protecting investors by investigating the financial advisors it regulates to determine if they have broken any rules or regulations. Investigations may be opened through any number of pathways including terminations, customer complaints, and examinations. In the cases where FINRA Enforcement finds evidence of rules violations, FINRA may bring disciplinary actions against the advisor for their conduct. These actions generally include monetary fines, suspensions, and even bars from the industry.
AdvisorLaw represents financial advisors from all 50 states and Puerto Rico. Through our unique business structure, AdvisorLaw has the ability to represent Investment Advisor Representatives (IARs), as well as traditional brokers, wherever they may reside domestically. Through our affiliate partnerships, any administrative or legal route is available to our clients.
Tax Lien Expungement
Few disclosures may negatively affect a financial professional more than a disclosure denoting federal tax liens. Although these may often be caused by medical or family situations that are beyond the control of the financial advisor, investors will simply be unforgiving when it comes to massive tax debts.
Expungement of any IRS liens is a critical step in the race to control your narrative. Whether you're on a payment plan or need assistance with resolving the debt you've already incurred, AdvisorLaw can help. We have proven strategies for resolving back taxes and expunging the liens that plague your public record.
Frequently Asked Questions
Whether you're a financial professional facing a potential disclosure on your BrokerCheck record, navigating a Form U5 termination, or require defense against FINRA regulatory action, AdvisorLaw can provide the experienced representation you need. Here, we answer some of the most common questions our clients have about these critical matters.
New disputes in the financial industry are disagreements between parties, usually a financial advisor and their employing firm, or the advisor and their client, in which FINRA has developed a forum to arbitrate or mediate the matter.
The decision to terminate advisors in the financial industry has been considered “weaponized” by many. Wrongful terminations are commonplace given conflicts over pay, alleged rule violations, firm politics, and large sums of revenue.
The remainder of the disputes take the form of a new complaint against a financial advisor by an investor attempting to reclaim losses. The most common allegations by investors are Breach of Fiduciary Duty, Negligence, Failure to Supervise, Misrepresentation, Suitability, Breach of Contract, Fraud, and Unauthorized Trading.
FINRA’s Enforcement Division is tasked with protecting investors by investigating the financial advisors it regulates to determine if they have broken any rules or regulations. Investigations may be opened through any number of pathways including terminations, customer complaints, and examinations. In the cases where FINRA Enforcement finds evidence of rules violations, FINRA may bring disciplinary actions against the advisor for their conduct. These actions generally include monetary fines, suspensions, and even bars from the industry.
AdvisorLaw represents financial advisors from all 50 states and Puerto Rico. Through our unique business structure, AdvisorLaw has the ability to represent Investment Advisor Representatives (IARs), as well as traditional brokers, wherever they may reside domestically. Through our affiliate partnerships, any administrative or legal route is available to our clients.
Contact us today!
AdvisorLaw LLC
11001 W 120th Avenue, Suite 100, Broomfield, CO 80021
303-952-4025
Contact us today!
AdvisorLaw LLC
11001 W 120th Avenue, Suite 100, Broomfield, CO 80021
303-952-4025
AdvisorLaw LLC
11001 W 120th Avenue, Suite 100, Broomfield, CO 80021