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How One Law Firm Handled Three out of Five Broker Expungement Requests in 2018

A Denver-based law 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 field some critics say could harm investors, according to news reports. Dochtor Kennedy, 39, founded AdvisorLaw in 2016, and the firm now handles the bulk of broker expungements, InvestmentNews writes. Kennedy …

Cleaning up tainted broker records becomes a cottage industry for one law firm

Original Article: https://88ytj2o1iqjmbj3b2lkgspkp-wpengine.netdna-ssl.com/wp-content/uploads/2020/09/2019-01-03-Cleaning-Up-Tainted-Broker-Records-Becomes-A-Cottage-Industry-for-One-Law-Firm-InvestmentNews.pdf 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, which specializes in removing customer complaints from brokers’ online proles, handles more broker expungement cases than anyone else in the business. Last year, through Dec. 6, the …

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Colorado Court Shuts Down FINRA Over Expungement Confirmation

Original Article: brokeandbroker.com/3981/finra-confirmation-expungement/ 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 to roll, some idiot executive walks in late? Can someone please get me a cup of coffee, two sugars, a little milk, and, if there’s a warm cheese danish …

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AdvisorLaw Reaches 50 FINRA Customer Dispute Expungement Awards in 2017

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 – and it’s only September! Why is this a big deal?  Well, there are two very important reasons that will give you a sense of just how big of an …

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AdvisorLaw wins against FINRA in the case of A.G. Edwards & Sons, Inc. Feb 17, 2017

Award FINRA Office of Dispute Resolution In the Matter of the Arbitration Between:   Claimant  Case Number:           vs. Respondent A.G. Edwards & Sons, Inc.    Hearing Site: Denver, Colorado Nature of the Dispute: Associated Person vs. Member  REPRESENTATION OF PARTIES For Claimant  (“Claimant”):  AdvisorLaw, Broomfield, Colorado.  For Respondent A.G. Edwards & Sons, Inc. (“Respondent”): Thomas Octavian Jacobs, Esq., Wells Fargo Law Department, San Francisco, …

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How to Save Your Reputation After a Meritless Customer Complaint

Original Article: wealthmanagement.com/marketing/how-save-your-reputation-after-meritless-customer-complaint 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 of a financial advisor’s marketing message. Over their tenure, an advisor’s “brand” can develop significant equity. This equity, embodied through their personal and business reputation, pays dividends …