Is your career suffering from unfair allegations of wrongdoing?

You're not alone. Investor complaints, regulatory investigations, and firm terminations can cost you clients and opportunities.

Is your career suffering from unfair allegations of wrongdoing?

You're not alone. Investor complaints, regulatory investigations, and firm terminations can cost you clients and opportunities.


Don't let these challenges derail your career.


AdvisorLaw's team of skilled attorneys specializes in protecting the careers of financial advisors and provides comprehensive support for FINRA inquiries, disciplinary actions, and expungement proceedings. Reclaim your reputation, boost your potential, and get back on track with the trusted guidance of AdvisorLaw.


Don't let these challenges derail your career.


AdvisorLaw's team of skilled attorneys specializes in protecting the careers of financial advisors and provides comprehensive support for FINRA inquiries, disciplinary actions, and expungement proceedings. Reclaim your reputation, boost your potential, and get back on track with the trusted guidance of AdvisorLaw.


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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 ⭐⭐⭐⭐⭐

  • “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 ⭐⭐⭐⭐⭐

  • “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 ⭐⭐⭐⭐⭐

  • “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 ⭐⭐⭐⭐⭐

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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 ⭐⭐⭐⭐⭐

  • “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 ⭐⭐⭐⭐⭐

  • “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 ⭐⭐⭐⭐⭐

  • “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 ⭐⭐⭐⭐⭐

Your Team of Seasoned Experts


Protecting Your Career, Every Step of the Way


Image

Doc Kennedy, MBA, J.D.

President & Founder
Read Bio
Image

Tad Burton, J.D.

Managing Director
of Client Relations

Image

Elena Chandler

Administrative
Law Assistant

Image

Andrea Dejear

Account
Development
Representative

Image

Harris Freedman, J.D.

Managing Director
of Client Relations

Image

Kenneth Garcia

Document Processing
Coordinator

Image

Hailey Harms

Administrative
Law Assistant

Image

Dalton Hodges

Administrative
Law Assistant

Image

Lisa Hurtado

Account
Development
Representative

Image

Josephine Jiron

Account
Development
Representative

Image

Jason Kirkland

Executive Director

Image

Belle Kraxberger

Administrative
Law Assistant

Image

Peter Lindholm, J.D.

Associate
Read Bio

Image

Meredith McNulty

Account
Development
Manager

Image

Tori Moyer

Client Relations Manager

Image

Kristy Myers

Administrative
Law Assistant

Image

Haley Piper

Administrative
Law Assistant

Image

Crystal Rodriquez

Account
Development
Representative

Image

Sheyla Serrano

Client Relations Manager

Image

Janay Simmons

Administrative
Law Assistant

Image

Carla Smith

Discovery & Investor
Services Manager

Image

Michael Wunderlich

Discovery & Investor
Services Manager

Image

Tad Burton, J.D.

Managing Director
of Client Relations
Read Bio
Image

Ryan Cohn, J.D.

Law Clerk

Image

Austin Davis, J.D.

Associate
Read Bio
Image

Andrea Dejear

Account
Development
Representative

Image

Harris Freedman, J.D.

Senior Associate
Read Bio
Image

Kenneth Garcia

Document Processing
Coordinator

Image

Hailey Harms

Administrative
Law Assistant

Image

Dalton Hodges

Administrative
Law Assistant

Image

Lisa Hurtado

Account
Development
Representative

Image

Josephine Jiron

Account
Development
Representative

Image

Jason Kirkland

Executive Director

Image

Belle Kraxberger

Administrative
Law Assistant

Image

Peter Lindholm, J.D.

Associate
Read Bio
Image

Meredith McNulty

Account
Development
Manager

Image

Kristy Myers

Administrative
Law Assistant

Image

Alex Padla, J.D.

Associate
Read Bio
Image

Haley Piper

Administrative
Law Assistant

Image

Crystal Rodriquez

Account
Development
Representative

Image

Sheyla Serrano

Client Relations Manager

Image

Janay Simmons

Administrative
Law Assistant

Image

Carla Smith

Account
Development
Representative

Image

Michael Wunderlich

Discovery & Investor
Services Manager

Image

Tad Burton, J.D.

Managing Director
of Client Relations

Image

Elena Chandler

Administrative
Law Assistant

Image

Andrea Dejear

Account
Development
Representative

Image

Harris Freedman, J.D.

Managing Director
of Client Relations

Image

Kenneth Garcia

Document Processing
Coordinator

Image

Hailey Harms

Administrative
Law Assistant

Image

Dalton Hodges

Administrative
Law Assistant

Image

Lisa Hurtado

Account
Development
Representative

Image

Tad Burton, J.D.

Managing Director
of Client Relations
Read Bio
Image

Ryan Cohn, J.D.

Law Clerk

Image

Austin Davis, J.D.

Associate
Read Bio
Image

Andrea Dejear

Account
Development
Representative

Image

Tad Burton, J.D.

Managing Director
of Client Relations
Read Bio
Image

Ryan Cohn, J.D.

Law Clerk

Image

Austin Davis, J.D.

Associate
Read Bio
Image

Andrea Dejear

Account
Development
Representative

Image

Harris Freedman, J.D.

Senior Associate
Read Bio
Image

Kenneth Garcia

Document Processing
Coordinator

Image

Tad Burton, J.D.

Managing Director
of Client Relations

Image

Elena Chandler

Administrative
Law Assistant

Image

Andrea Dejear

Account
Development
Representative

Image

Harris Freedman, J.D.

Managing Director
of Client Relations

Image

Kenneth Garcia

Document Processing
Coordinator

Image

Hailey Harms

Administrative
Law Assistant

Image

Tad Burton, J.D.

Managing Director
of Client Relations

Image

Elena Chandler

Administrative
Law Assistant

Image

Andrea Dejear

Account
Development
Representative

Image

Harris Freedman, J.D.

Managing Director
of Client Relations

Image

Kenneth Garcia

Document Processing
Coordinator

Image

Hailey Harms

Administrative
Law Assistant

Image

Josephine Jiron

Account
Development
Representative

Image

Jason Kirkland

Executive Director

Image

Belle Kraxberger

Administrative
Law Assistant

Image

Peter Lindholm, J.D.

Associate
Read Bio

Image

Meredith McNulty

Account
Development
Manager

Image

Tori Moyer

Client Relations Manager

Image

Kristy Myers

Administrative
Law Assistant

Image

Haley Piper

Administrative
Law Assistant

Image

Crystal Rodriquez

Account
Development
Representative

Image

Sheyla Serrano

Client Relations Manager

Image

Janay Simmons

Administrative
Law Assistant

Image

Carla Smith

Discovery & Investor
Services Manager

Image

Michael Wunderlich

Discovery & Investor
Services Manager

Image

Josephine Jiron

Account
Development
Representative

Image

Jason Kirkland

Executive Director

Image

Belle Kraxberger

Administrative
Law Assistant

Image

Peter Lindholm, J.D.

Associate
Read Bio

Image

Meredith McNulty

Account
Development
Manager

Image

Tori Moyer

Client Relations Manager

Image

Kristy Myers

Administrative
Law Assistant

Image

Haley Piper

Administrative
Law Assistant

Image

Crystal Rodriquez

Account
Development
Representative

Image

Sheyla Serrano

Client Relations Manager

Image

Janay Simmons

Administrative
Law Assistant

Image

Carla Smith

Discovery & Investor
Services Manager

Image

Michael Wunderlich

Discovery & Investor
Services Manager

Image

Dalton Hodges

Administrative
Law Assistant

Image

Lisa Hurtado

Account
Development
Representative

Image

Josephine Jiron

Account
Development
Representative

Image

Jason Kirkland

Executive Director

Image

Belle Kraxberger

Administrative
Law Assistant

Image

Peter Lindholm, J.D.

Associate
Read Bio

Image

Meredith McNulty

Account
Development
Manager

Image

Tori Moyer

Client Relations Manager

Image

Kristy Myers

Administrative
Law Assistant

Image

Haley Piper

Administrative
Law Assistant

Image

Crystal Rodriquez

Account
Development
Representative

Image

Sheyla Serrano

Client Relations Manager

Image

Janay Simmons

Administrative
Law Assistant

Image

Carla Smith

Discovery & Investor
Services Manager

Image

Michael Wunderlich

Discovery & Investor
Services Manager

Image

Harris Freedman, J.D.

Senior Associate
Read Bio

Image

Hailey Harms

Administrative
Law Assistant

Image

Dalton Hodges

Administrative
Law Assistant

Image

Lisa Hurtado

Account
Development
Representative

Image

Josephine Jiron

Account
Development
Representative

Image

Jason Kirkland

Executive Director

Image

Belle Kraxberger

Administrative
Law Assistant

Image

Peter Lindholm, J.D.

Associate
Read Bio

Image

Meredith McNulty

Account
Development
Manager

Image

Tori Moyer

Client Relations Manager

Image

Kristy Myers

Administrative
Law Assistant

Image

Haley Piper

Administrative
Law Assistant

Image

Crystal Rodriquez

Account
Development
Representative

Image

Sheyla Serrano

Client Relations Manager

Image

Janay Simmons

Administrative
Law Assistant

Image

Carla Smith

Discovery & Investor
Services Manager

Image

Michael Wunderlich

Discovery & Investor
Services Manager

Image

Josephine Jiron

Account
Development
Representative

Image

Jason Kirkland

Executive Director

Image

Belle Kraxberger

Administrative
Law Assistant

Image

Peter Lindholm, J.D.

Associate
Read Bio

Image

Meredith McNulty

Account
Development
Manager

Image

Tori Moyer

Client Relations Manager

Image

Kristy Myers

Administrative
Law Assistant

Image

Haley Piper

Administrative
Law Assistant

Image

Crystal Rodriquez

Account
Development
Representative

Image

Sheyla Serrano

Client Relations Manager

Image

Janay Simmons

Administrative
Law Assistant

Image

Carla Smith

Discovery & Investor
Services Manager

Image

Michael Wunderlich

Discovery & Investor
Services Manager

Image

Hailey Harms

Administrative
Law Assistant

Image

Dalton Hodges

Administrative
Law Assistant

Image

Lisa Hurtado

Account
Development
Representative

Image

Josephine Jiron

Account
Development
Representative

Image

Jason Kirkland

Executive Director

Image

Belle Kraxberger

Administrative
Law Assistant

Image

Peter Lindholm, J.D.

Associate
Read Bio
Image

Meredith McNulty

Account
Development
Manager

Image

Kristy Myers

Administrative
Law Assistant

Image

Alex Padla, J.D.

Associate
Read Bio
Image

Haley Piper

Administrative
Law Assistant

Image

Crystal Rodriquez

Account
Development
Representative

Image

Sheyla Serrano

Client Relations Manager

Image

Janay Simmons

Administrative
Law Assistant

Image

Carla Smith

Account
Development
Representative

Image

Michael Wunderlich

Discovery & Investor
Services Manager

Image

Harris Freedman, J.D.

Managing Director
of Client Relations

Image

Kenneth Garcia

Document Processing
Coordinator

Image

Hailey Harms

Administrative
Law Assistant

Image

Dalton Hodges

Administrative
Law Assistant

Image

Lisa Hurtado

Account
Development
Representative

Image

Josephine Jiron

Account
Development
Representative

Image

Jason Kirkland

Executive Director

Image

Belle Kraxberger

Administrative
Law Assistant

Image

Peter Lindholm, J.D.

Associate
Read Bio
Image

Meredith McNulty

Account
Development
Manager

Image

Kristy Myers

Administrative
Law Assistant

Image

Alex Padla, J.D.

Associate
Read Bio
Image

Haley Piper

Administrative
Law Assistant

Image

Crystal Rodriquez

Account
Development
Representative

Image

Sheyla Serrano

Client Relations Manager

Image

Janay Simmons

Administrative
Law Assistant

Image

Carla Smith

Account
Development
Representative

Image

Michael Wunderlich

Discovery & Investor
Services Manager

Your Team of Seasoned Experts


Protecting Your Career, Every Step of the Way

Image

Doc Kennedy, MBA, J.D.

President & Founder
Read Bio
Image

Tad Burton, J.D.

Managing Director
of Client Relations
Read Bio
Image

Ryan Cohn, J.D.

Law Clerk

Image

Austin Davis, J.D.

Associate
Read Bio
Image

Andrea Dejear

Account
Development
Representative

Image

Harris Freedman, J.D.

Senior Associate
Read Bio

Image

Kenneth Garcia

Document Processing
Coordinator

Image

Hailey Harms

Administrative
Law Assistant

Image

Dalton Hodges

Administrative
Law Assistant

Image

Lisa Hurtado

Account
Development
Representative

Image

Josephine Jiron

Account
Development
Representative

Image

Jason Kirkland

Executive Director

Image

Belle Kraxberger

Administrative
Law Assistant

Image

Peter Lindholm, J.D.

Associate
Read Bio
Image

Meredith McNulty

Account
Development
Manager

Image

Kristy Myers

Administrative
Law Assistant

Image

Alex Padla, J.D.

Associate
Read Bio
Image

Haley Piper

Administrative
Law Assistant

Image

Crystal Rodriquez

Account
Development
Representative

Image

Sheyla Serrano

Client Relations Manager

Image

Janay Simmons

Administrative
Law Assistant

Image

Carla Smith

Account
Development
Representative

Image

Michael Wunderlich

Discovery & Investor
Services Manager

Image

Tad Burton, J.D.

Managing Director
of Client Relations

Image

Harris Freedman, J.D.

Senior Associate
Read Bio

Image

Jason Kirkland

Executive Director

Image

Peter Lindholm, J.D.

Associate
Read Bio

Image

Meredith McNulty

Account Development
Manager

Image

Sheyla Serrano

Client Relations Manager

Image

Michael Wunderlich

Discovery & Investor
Services Manager

Image

Elena Chandler

Administrative
Law Assistant

Image

Tad Burton, J.D.

Managing Director
of Client Relations

Image

Harris Freedman, J.D.

Senior Associate
Read Bio

Image

Jason Kirkland

Executive Director

Image

Peter Lindholm, J.D.

Associate
Read Bio

 
 
Image

Kenneth Garcia

Document Processing
Coordinator

Image

Melissa Gray

Account
Development
Representative

Image

Hailey Harms

Administrative
Law Assistant

Image

Dalton Hodges

Administrative
Law Assistant

Image

Lisa Hurtado

Account
Development
Representative

Image

Lisa Hurtado

Account
Development
Representative

Image

Meredith McNulty

Account Development
Manager

Image

Sheyla Serrano

Client Relations Manager

Image

Michael Wunderlich

Discovery & Investor
Services Manager

Image

Elena Chandler

Administrative
Law Assistant

Image

Kenneth Garcia

Document Processing
Coordinator

Image

Melissa Gray

Account
Development
Representative

Image

Hailey Harms

Administrative
Law Assistant

Image

Dalton Hodges

Administrative
Law Assistant

Image

Lisa Hurtado

Account
Development
Representative

Image

Lisa Hurtado

Account
Development
Representative

Frequently Asked Questions


Whether you're a financial professional facing a potential disclosure on your BrokerCheck record, navigating a Form U5 termination, or require defense against FINRA regulatory action, AdvisorLaw can provide the experienced representation you need. Here, we answer some of the most common questions our clients have about these critical matters.

 
 

Frequently Asked Questions


Whether you're a financial professional facing a potential disclosure on your BrokerCheck record, navigating a Form U5 termination, or require defense against FINRA regulatory action, AdvisorLaw can provide the experienced representation you need. Here, we answer some of the most common questions our clients have about these critical matters.

Frequently Asked Questions


Whether you're a financial professional facing a potential disclosure on your BrokerCheck record, navigating a Form U5 termination, or require defense against FINRA regulatory action, AdvisorLaw can provide the experienced representation you need. Here, we answer some of the most common questions our clients have about these critical matters.

Contact us today!

Contact Form Main


​AdvisorLaw LLC
11001 W 120th Avenue, Suite 100, Broomfield, CO 80021

303-952-4025

Contact us today!

Contact Form Main


​AdvisorLaw LLC
11001 W 120th Avenue, Suite 100, Broomfield, CO 80021

303-952-4025

​AdvisorLaw LLC
11001 W 120th Avenue, Suite 100, Broomfield, CO 80021

303-952-4025

Schedule a complimentary consultation today!

ROBUST DEFENSE & EXPUNGEMENT CONTACT

11001 W 120th Avenue, Suite 100, Broomfield, CO 80021

(303) 952-4025

Interested in joining our team?

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