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Award Date: August 25th, 2023
Claimant Representative: Tad Burton, J.D.
Case Objective:
An advisor in Connecticut approaching 20 years in the industry had a criminal disclosure on his records from an incident that had taken place in 2004 — three years before he joined the financial services field. He hired AdvisorLaw to help him remove the mark from his records.
Case Summary:
For nearly 15 years, each time that a prospective customer or employer viewed this advisor’s records, the advisor’s reputation and ability to do his job were instantly brought into question. The criminal mark, which originated in Phoenix, Arizona, listed charges of burglary and aggravated assault with a deadly weapon. Even though the advisor had been found not guilty on both counts, the reaction of those viewing his records was neither pleasant to deal with, nor favorable to his career.
However, the advisor’s ability to expunge the disclosure was virtually nonexistent until a couple of years ago. Recently, Arizona adopted a new statute that would now allow for the possibility of expungement where it did not previously exist. Under the new law, this advisor finally had a chance at success.
Result:
On the advisor’s behalf, AdvisorLaw’s Tad Burton, J.D.– contacted the Superior Court in the State of Arizona with a petition to seal the advisor’s records. Mr. Burton pointed out that the advisor was seeking to expunge the charge from his background disclosure report, though he could not prevail without first being granted criminal expungement from Arizona.
Mr. Burton continued, informing the court that the charges had been dismissed and that the advisor had been convicted of disorderly conduct. The advisor had been given probation, which he had successfully completed, and he had been discharged, as of April of 2007. Subsequently, in 2018, the advisor sought and was granted an order setting aside his conviction.
Mr. Burton provided all other relevant facts and documents in support of an order to have the advisor’s records sealed. Arizona agreed that sealing the advisor’s records was appropriate, and it granted the request.
Soon this advisor will be able to continue his career without the criminal disclosure, for the first time ever.