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Counter false allegations, preserve your reputation, and reclaim your integrity.

Fearless defense against investor complaints, regulatory investigations, and termination disputes.

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Counter false allegations, preserve your reputation, and reclaim your integrity.

Fearless defense against investor complaints, regulatory investigations, and termination disputes.

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 industry attacks derail your career.

Don't let industry attacks derail your career.


Our team of seasoned attorneys specializes in protecting the careers of financial advisors and provides a comprehensive defense of FINRA, SEC, and state investigations, disciplinary actions, and expungement of public disclosures. Reclaim your narrative with our trusted counsel.


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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⭐⭐⭐⭐⭐

    BrokerCheck & IAPD Expungement Services

    BrokerCheck & IAPD
    Expungement Services

    BrokerCheck & IAPD
    Expungement Services

    Through various dispute resolution forums, AdvisorLaw can effectively clean up your BrokerCheck or IAPD profile through reputable dispute resolution forums like AAA and JAMS, accurately representing your personal and professional reputation to the public and industry observers. We specialize in defending 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.


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    Disclosures
    Expunged

    Disclosures
    Expunged

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    FINRA Expungement Awarded: Advisor Clears Name After Goldman Sachs Termination

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    Southern-California Advisor Wins Expungement Of Internal Review Disclosure

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    Expungement Victory For Chicago Investment Adviser

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    Four Customer Disputes Expunged For LA-Based Investment Adviser

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    Florida Advisor Clears Records With Expungement Of Five Disputes

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    Advisor Clears Records In Time For 40th Financial Services Career Anniversary

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    Michigan Advisor Restores Flawless Records With Customer Dispute Expungement

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    Florida Advisor Clears Records With Expungement Of Five Disputes

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    Missouri Advisor Clears Records Of Four Settled Customer Disputes

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    FINRA Expungement Awarded: Advisor Clears Name After Goldman Sachs Termination

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    Southern-California Advisor Wins Expungement Of Internal Review Disclosure

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    Expungement Victory For Chicago Investment Adviser

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    Four Customer Disputes Expunged For LA-Based Investment Adviser

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    Florida Advisor Clears Records With Expungement Of Five Disputes

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    Advisor Clears Records In Time For 40th Financial Services Career Anniversary

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    Michigan Advisor Restores Flawless Records With Customer Dispute Expungement

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    Florida Advisor Clears Records With Expungement Of Five Disputes

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    Missouri Advisor Clears Records Of Four Settled Customer Disputes

    Schedule Consultation
    Schedule Consultation

    Meet Your Experts

    Meet Your Experts



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    Tad Burton, J.D.

    Managing Director
    of Client Relations

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    Harris Freedman, J.D.

    Senior Associate

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    Dalton Hodges

    Administrative
    Law Assistant

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    Lisa Hurtado

    Account
    Development
    Representative

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    Josephine Jiron

    Account
    Development
    Representative

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    Doc Kennedy, MBA, J.D.

    President & Co-Founder

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    Jason Kirkland

    Executive Director

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    Belle Kraxberger

    Administrative
    Law Assistant

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    Peter Lindholm, J.D.

    Associate

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    Meredith McNulty

    Account Development
    Manager

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    Alex PadLa, J.D.

    Associate

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    Sheyla Serrano

    Client Relations Manager

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    Janay Simmons

    Administrative
    Law Assistant

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    Carla Smith

    Discovery & Investor Services Manager

    Discovery & Investor
    Services Manager

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    Michael Wunderlich

    Discovery & Investor
    Services Manager

    Discovery & Investor Services Manager

    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

    Schedule Consultation
    Schedule Consultation

    U5 Terminations Disputes

    Termination Disputes

    Termination Disputes

    Termination 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

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    Bay Area Advisor Restores Perfect, 30-Year BrokerCheck Records With Termination Expungement

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    Arkansas Advisor Expunges Termination Disclosure Tied To 5 Customer Disputes

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    Seattle Advisor Clears 2023 Termination Disclosure From CRD/BrokerCheck

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    Unregistered CA Advisor Wins Expungement Of Damaging Termination Disclosure

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    Justice Through Expungement: Restoring Arizona Adviser’s Perfect Record

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    Wisconsin Advisor Wins Expungement Of Termination Disclosure Despite LPL Opposition

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    DC Advisor Wins Full Expungement Of 2017 Termination Disclosure In FINRA Arbitration

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    Denver Advisor’s Perfect Record Reinstated With Termination Disclosure Expungement

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    Washington Advisor’s False, Damaging Termination Disclosure Fully Expunged

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    FINRA Expungement Awarded: Advisor Clears Name After Goldman Sachs Termination

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    2017 Termination Disclosure Wiped From Texas Advisor & CCO’s Records

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    Justice Through Expungement: Restoring Arizona Adviser’s Perfect Record

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    Wisconsin Advisor Wins Expungement Of Termination Disclosure Despite LPL Opposition

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    DC Advisor Wins Full Expungement Of 2017 Termination Disclosure In FINRA Arbitration

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    Denver Advisor’s Perfect Record Reinstated With Termination Disclosure Expungement

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    Washington Advisor’s False, Damaging Termination Disclosure Fully Expunged

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    FINRA Expungement Awarded: Advisor Clears Name After Goldman Sachs Termination

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    2017 Termination Disclosure Wiped From Texas Advisor & CCO’s Records

    Schedule Consultation
    Schedule Consultation

    Frequently Asked Questions



    Frequently Asked Questions



    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.

    Schedule a complimentary consultation!

    Schedule a complimentary consultation!

    Contact Form Main

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

    303-952-4025

    Schedule a complimentary consultation!

    Schedule a complimentary consultation!

    DEFENSE | Contact Form (#60)