AdvisorLaw’s Defense Division: Safeguarding Careers, Shielding Reputations

In today’s hyper-regulated financial landscape, even the most diligent financial advisors face the looming threat of regulatory scrutiny. Whether it’s a meritless customer complaint, aggressive FINRA investigation, or unexpected state or SEC inquiry—your career, reputation, and practice value can all hang in the balance.

AdvisorLaw isn’t just a service provider. We're your strategic defense partner. Our Defense division exists for one purpose: to safeguard the livelihood and legacy of financial professionals. With nearly a decade of experience, a team of dedicated attorneys, and a singular focus on financial advisors, AdvisorLaw stands apart as the preeminent authority in advisor defense, nationwide.

A Legal Defense Built For Financial Professionals

AdvisorLaw’s Defense division was born from a simple truth: advisors need an advocate who understands both the letter of the law and the realities of the industry. We’re not a general law firm that dabbles in securities work. We’re a laser-focused, cutting-edge consulting firm built exclusively for financial advisors, investment advisers (RIAs), and other financial advisory professionals—and it shows in everything we do.

Our defense services include:

• Employment Disputes & Transitions: Advising financial advisors on wrongful terminations, promissory note disputes, and seamless transitions, either between firms or into independence
• Form U4/U5 & BrokerCheck Disclosures: Guiding advisors through the complexities of disclosures and working to prevent unnecessary reputational damage
• Regulatory Investigations (FINRA, SEC, & State): Defending clients against enforcement actions or inquiries, including OTRs (on-the-record interviews), Wells notices, and sanctions
• Organization Investigations: Defending advisors in CFP® or CFA® investigations and hearings
• Customer Dispute Defense: Responding to customer complaints and regulatory inquiries with thorough, strategic responses designed to avoid escalation
• CRD & BrokerCheck Expungement: Led by Harris Freedman, J.D., the most experienced expungement attorney in the nation, with 385+ successful cases—AdvisorLaw is unmatched in clearing unjust disclosures
• Litigation & Arbitration: Representing clients in FINRA arbitrations, state and federal courts, and mediation, with a proven record of results

Other firms may offer “white-label” compliance or occasional legal representation—but AdvisorLaw is purpose-built to serve advisors across all stages of their careers. Here’s what sets us apart:

• Industry-Exclusive Focus: We don't serve investors. We defend advisors—period. This means no conflicts of interest and a surgical understanding of your world.
• In-House Expertise: Our Defense division is composed of securities attorneys, former regulators, and legal professionals who live and breathe this work every day.
• Results That Speak: From expungement victories, to regulatory dismissals—our case history speaks to our ability to protect what matters most: your career, reputation, and livelihood.
• Speed, Strategy, & Support: We move fast, think three steps ahead, and offer white-glove support and responsiveness, so you’re never left wondering what comes next.
• Reputation Preservation Is Business Preservation: Advisors’ greatest asset is their name. Whether you’re looking to retain clients, grow your firm, or prepare for a sale, we make sure your record reflects the truth—not false allegations.