Legal gavel and block representing law and justice, symbolizing legal services and attorney expertise.

Financial Advisor Defense & Reputation Protection

Fearless financial advisor defense to protect against investor complaints, regulatory investigations, and termination disputes.

Legal gavel and block representing law and justice, symbolizing legal services and attorney expertise.

Financial Advisor Defense & Reputation Protection

Financial Advisor Defense & Reputation Protection

Fearless financial advisor defense to protect against investor complaints, regulatory investigations, and termination disputes.

Don't let industry attacks derail your career.

Don't let industry attacks derail your career.


Our team of seasoned RIA attorneys and FINRA expungement lawyers, among others, specializes in protecting the careers of financial advisors and provides a comprehensive defense of FINRA enforcement, SEC and state investigations, disciplinary actions, and expungement of public disclosures. Reclaim your narrative with our trusted counsel from experienced financial advisor reputation management specialists and support staff.

Don't let industry attacks derail your career.

Don't let industry attacks derail your career.


Our team of seasoned RIA attorneys and FINRA expungement lawyers, among others, specializes in protecting the careers of financial advisors and provides a comprehensive defense of FINRA enforcement, SEC and state investigations, disciplinary actions, and expungement of public disclosures. Reclaim your narrative with our trusted counsel from experienced financial advisor reputation management specialists and support staff.

Professional legal advisor consulting with clients in a law office setting.

What Our Clients
Say About Us

What Our Clients
Say About Us

What Our Clients
Say About Us

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 ⭐⭐⭐⭐⭐

"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 ⭐⭐⭐⭐⭐

"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 ⭐⭐⭐⭐⭐

"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 ⭐⭐⭐⭐⭐

"I worked with Advisor Law to have a frivolous complaint removed from Broker Check. While FINRA determined there was no validity to the complaint I needed to take action to clear my record. Advisor Law was easy to work with, did exactly what they said they would do, exactly when they said they would do it, and coached me through the process. While I never want to experience this type of event again, I would call them in a heart beat should the need arise."

- Mark Edwards⭐⭐⭐⭐⭐

"Great people to have in your corner. Very professional, knowledgeable, and results oriented. I'm glad they are on my team. When I needed defense over a bogus claim, they were amazing, and protected me and my team."

- Dean Owen⭐⭐⭐⭐⭐

"Advisor Law's knowledge, detail oriented, and expertise, are excellent. I had worked with an attorney previously and they did nothing compared to what Advisor Law was able to accomplish. Truely a professional organization who cared about my case, took responsibility and treated me with utmost respect. I recommend contacting Advisor Law and see if they can help your situation!"

- Patty Loris⭐⭐⭐⭐⭐

"Chelsea and the entire team were fantastic to deal with. Diligent and patient through a grinding process, and they really helped me through some challenges. So appreciate their help in providing justice to my records, comprehensive preparation for hearings and taking the reins in my expungement process. Thank You!!"

- Bob Krieger⭐⭐⭐⭐⭐

"Advisor Law was great to work with, and they made everything fast and easy. They helped me with my case, and a favorable outcome. The attorney they had me working with was professional, courteous, and knew what he was doing."

- Rinaldo Crassa⭐⭐⭐⭐⭐

"Wonderful experience with results exactly as advertised. They were able to clean up my U4 that were not reflective of my professional record."

- Thomas Clark⭐⭐⭐⭐⭐

"Advisor Law provided terrific service with my expungement cases. Their direct professional care was highly successful to remove nuisance records for me. I would highly recommend everyone at Advisor Law as the team effort yielded superior results."

- David Bindelglass⭐⭐⭐⭐⭐

    Professional legal consultation and personalized estate planning services provided by AdvisorLaw LLC. Expert advice for clients seeking reliable legal solutions.

    BrokerCheck & IAPD Expungement Services

    BrokerCheck & IAPD
    Expungement Services

    BrokerCheck & IAPD
    Expungement Services


    Through various dispute resolution methods, AdvisorLaw can effectively clean up your BrokerCheck or IAPD profile, accurately representing your personal and professional reputation to the public and industry observers. We specialize in regulatory compliance defense, protecting individuals against unfounded, meritless, and incorrect claims.
    Our track record is filled with success stories navigating a variety of challenges, including customer disputes, wrongful terminations, accusations of unsuitability, unauthorized trading, criminal records, and beyond. Let us help protect and restore what you have worked so hard to build.

    Meet Your Experts

    Meet Your Experts

    Meet Your Experts



    Josh Barber Headshot

    Josh Barber

    CIO & Co-Founder

    CIO & Co-Founder

    Tad Burton, J.D. Headshot

    Tad Burton, J.D.

    Managing Director
    of Client Relations

    Image

    Josh Colville

    Administrative Law Assistant

    Nathaniel Cousar Headshot

    Nathaniel Cousar

    Account Development Representative

    Jennifer Cox, J.D. Headshot

    Jennifer Cox, J.D.

    Senior Associate

    Austin Davis, J.D. Headshot

    Austin Davis, J.D.

    Senior Associate

    Dalton Hodges Headshot

    Dalton Hodges

    Lead Administrative
    Law Assistant

    Josephine Jiron Headshot

    Josephine Jiron

    Account Development
    Representative

    Doc Kennedy, MBA, J.D. Headshot

    Doc Kennedy, MBA, J.D.

    President & Co-Founder

    Jason Kirkland Headshot

    Jason Kirkland

    Executive Director

    Peter Lindholm, J.D. Headshot

    Peter Lindholm, J.D.

    Associate

    Meredith McNulty Headshot

    Meredith McNulty

    Account Development
    Manager

    Alex Padla, J.D. Headshot

    Alex Padla, J.D.

    Senior Associate

    Tyler Reynolds, J.D. Headshot

    Tyler Reynolds, J.D.

    Associate

    Ric Rivard Headshot

    Ric Rivard

    Business Development Executive

    Sheyla Serrano Headshot

    Sheyla Serrano

    Client Relations Manager

    Image

    Daniel Simms

    Account Development
    Representative

    Image

    Janay Simmons

    Administrative
    Law Assistant

    Image

    Carla Smith

    Discovery & Investor Services Manager

    Discovery & Investor
    Services Manager

    Image

    Michael Wunderlich

    Discovery & Investor
    Services Manager

    Discovery & Investor Services Manager

    Highly professional attorneys at AdvisorLaw LLC providing expert legal advice on business, corporate, and estate planning services tailored to meet clients' needs.

    Enforcement Defense

    Enforcement Actions

    Enforcement Actions


    Staring down a FINRA, SEC, or state regulatory investigation can be unnerving and may put your financial career in jeopardy. Whether you face allegations of misconduct, sales practice violations, supervisory failures, or other regulatory infractions, the stakes are sky-high. Our team of veteran attorneys specializes in defending financial professionals against a broad spectrum of regulatory charges.
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    Advisors
    Defended

    Advisors
    Defended

    Engage With Our Experts
    Engage With
    Our Experts
    Engage With Our Experts
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    Terminations Disputes

    Termination Disputes

    Terminations Disputes


    Being terminated can be a disorienting experience. With many firms “weaponizing” the disclosure of termination, it can be a crucial time to defend your ability to make a living. Our team of hardened attorneys specializes in countering allegations of wrongdoing, while simultaneously developing the most efficient strategy to regain your ability to generate income.

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    Reputations
    Restored

    Reputations
    Restored

    Engage With Our Experts
    Frequently Asked Questions

    Frequently Asked Questions



    Frequently Asked Questions



    Frequently Asked Questions


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    Claims Against Employers & Business Partners

    Claims Against Employers &
    Business Partners

    Claims Against Employers
    & Business Partners


    For clients involved in employment or partnership disputes, our team of uniquely experienced and specialized attorneys offers strategic and tailored counsel. We combine meticulous analysis with assertive advocacy to vigorously pursue claims or build formidable defenses, consistently striving to maximize client success.
    Engage With Our Experts
    Engage With
    Our Experts
    Engage With Our Experts

    Request a Private Consultation

    DEFENSE | Contact Form (#60)

    Request a Private Consultation

    Schedule a complimentary consultation!

    DEFENSE | Contact Form (#60)