Losing potential business due to customer complaints on your BrokerCheck report is bad enough, but it isn’t the only cost of having FINRA U4 disclosures on your CRD.  Today, most...

A Denver-based firm appears to have made a cottage industry out of clearing broker records — and its founder is in no way apologetic about being the leader in a...

Critics may take Dochtor Kennedy to task for helping brokers clean up their disciplinary records, but no one can argue with his success. The 39-year-old president and founder of AdvisorLaw,...

Do you ever go to a meeting where it seemed that everyone showed up on time, they started the presentations at the designated hour, and then, just as things began...

Contact Us Today! Many financial professionals have pre-tax dollars provided by their broker-dealer to help them market and advertise their business.  Unfortunately, with the ubiquity of FINRA's BrokerCheck and Google, any monies...

We've known for some time that FINRA ranks their brokers based on negative disclosures on their Form U4 and CRD.  However, that information has never been released to the public...

AdvisorLaw has just reached an important and impressive milestone in the financial advisor industry.  We have just reached our 50th winning award for customer dispute expungement in 2017 through FINRA's Rule 2080 arbitration...

Respondent Firm: A.G. Edwards & Sons, Inc.   Hearing Site: Denver, Colorado Nature of the Dispute: Associated Person vs. Member For Claimant  (“Claimant”):  AdvisorLaw, Broomfield, Colorado. For Respondent A.G. Edwards & Sons, Inc. (“Respondent”): Thomas...

Many wealth managers have spent years, if not decades, of their lives, crafting a distinguished image of their practice. Words like “planning,” “trust,” “experience,” “service” and “satisfaction” consume the landscape...