Protect your livelihood from allegations of wrongdoing.
Defend your reputation and the value of your business by protecting against investor complaints, regulatory investigations, and termination disputes.
Protect your livelihood from allegations of wrongdoing.
Defend your reputation and the value of your business by protecting 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.
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 and get back on track with trusted counsel.
What Our Clients Say About Us
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“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 ⭐⭐⭐⭐⭐
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“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 ⭐⭐⭐⭐⭐
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“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 ⭐⭐⭐⭐⭐
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“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 ⭐⭐⭐⭐⭐
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 ⭐⭐⭐⭐⭐
-
“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 ⭐⭐⭐⭐⭐
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, ensuring that your personal and professional reputation is accurately represented 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 your good name.
Disclosures
Expunged
Disclosures
Expunged
Meet Your Experts
Tad Burton, J.D.
Managing Director
of Client Relations
Elena Chandler
Administrative
Law Assistant
Andrea Dejear
Account
Development
Representative
Harris Freedman, J.D.
Managing Director
of Client Relations
Kenneth Garcia
Document Processing
Coordinator
Hailey Harms
Administrative
Law Assistant
Dalton Hodges
Administrative
Law Assistant
Lisa Hurtado
Account
Development
Representative
Josephine Jiron
Account
Development
Representative
Jason Kirkland
Executive Director
Belle Kraxberger
Administrative
Law Assistant
Peter Lindholm, J.D.
Associate
Read Bio
Meredith McNulty
Account
Development
Manager
Tori Moyer
Client Relations Manager
Kristy Myers
Administrative
Law Assistant
Haley Piper
Administrative
Law Assistant
Crystal Rodriquez
Account
Development
Representative
Sheyla Serrano
Client Relations Manager
Janay Simmons
Administrative
Law Assistant
Carla Smith
Discovery & Investor
Services Manager
Michael Wunderlich
Discovery & Investor
Services Manager
Ryan Cohn, J.D.
Law Clerk
Andrea Dejear
Account
Development
Representative
Kenneth Garcia
Document Processing
Coordinator
Hailey Harms
Administrative
Law Assistant
Dalton Hodges
Administrative
Law Assistant
Lisa Hurtado
Account
Development
Representative
Josephine Jiron
Account
Development
Representative
Jason Kirkland
Executive Director
Belle Kraxberger
Administrative
Law Assistant
Meredith McNulty
Account
Development
Manager
Kristy Myers
Administrative
Law Assistant
Haley Piper
Administrative
Law Assistant
Crystal Rodriquez
Account
Development
Representative
Sheyla Serrano
Client Relations Manager
Janay Simmons
Administrative
Law Assistant
Carla Smith
Account
Development
Representative
Michael Wunderlich
Discovery & Investor
Services Manager
Tad Burton, J.D.
Managing Director
of Client Relations
Elena Chandler
Administrative
Law Assistant
Andrea Dejear
Account
Development
Representative
Harris Freedman, J.D.
Managing Director
of Client Relations
Kenneth Garcia
Document Processing
Coordinator
Hailey Harms
Administrative
Law Assistant
Dalton Hodges
Administrative
Law Assistant
Lisa Hurtado
Account
Development
Representative
Ryan Cohn, J.D.
Law Clerk
Andrea Dejear
Account
Development
Representative
Ryan Cohn, J.D.
Law Clerk
Andrea Dejear
Account
Development
Representative
Kenneth Garcia
Document Processing
Coordinator
Tad Burton, J.D.
Managing Director
of Client Relations
Elena Chandler
Administrative
Law Assistant
Andrea Dejear
Account
Development
Representative
Harris Freedman, J.D.
Managing Director
of Client Relations
Kenneth Garcia
Document Processing
Coordinator
Hailey Harms
Administrative
Law Assistant
Tad Burton, J.D.
Managing Director
of Client Relations
Elena Chandler
Administrative
Law Assistant
Andrea Dejear
Account
Development
Representative
Harris Freedman, J.D.
Managing Director
of Client Relations
Kenneth Garcia
Document Processing
Coordinator
Hailey Harms
Administrative
Law Assistant
Josephine Jiron
Account
Development
Representative
Jason Kirkland
Executive Director
Belle Kraxberger
Administrative
Law Assistant
Peter Lindholm, J.D.
Associate
Read Bio
Meredith McNulty
Account
Development
Manager
Tori Moyer
Client Relations Manager
Kristy Myers
Administrative
Law Assistant
Haley Piper
Administrative
Law Assistant
Crystal Rodriquez
Account
Development
Representative
Sheyla Serrano
Client Relations Manager
Janay Simmons
Administrative
Law Assistant
Carla Smith
Discovery & Investor
Services Manager
Michael Wunderlich
Discovery & Investor
Services Manager
Josephine Jiron
Account
Development
Representative
Jason Kirkland
Executive Director
Belle Kraxberger
Administrative
Law Assistant
Peter Lindholm, J.D.
Associate
Read Bio
Meredith McNulty
Account
Development
Manager
Tori Moyer
Client Relations Manager
Kristy Myers
Administrative
Law Assistant
Haley Piper
Administrative
Law Assistant
Crystal Rodriquez
Account
Development
Representative
Sheyla Serrano
Client Relations Manager
Janay Simmons
Administrative
Law Assistant
Carla Smith
Discovery & Investor
Services Manager
Michael Wunderlich
Discovery & Investor
Services Manager
Dalton Hodges
Administrative
Law Assistant
Lisa Hurtado
Account
Development
Representative
Josephine Jiron
Account
Development
Representative
Jason Kirkland
Executive Director
Belle Kraxberger
Administrative
Law Assistant
Peter Lindholm, J.D.
Associate
Read Bio
Meredith McNulty
Account
Development
Manager
Tori Moyer
Client Relations Manager
Kristy Myers
Administrative
Law Assistant
Haley Piper
Administrative
Law Assistant
Crystal Rodriquez
Account
Development
Representative
Sheyla Serrano
Client Relations Manager
Janay Simmons
Administrative
Law Assistant
Carla Smith
Discovery & Investor
Services Manager
Michael Wunderlich
Discovery & Investor
Services Manager
Harris Freedman, J.D.
Senior Associate
Read Bio
Hailey Harms
Administrative
Law Assistant
Dalton Hodges
Administrative
Law Assistant
Lisa Hurtado
Account
Development
Representative
Josephine Jiron
Account
Development
Representative
Jason Kirkland
Executive Director
Belle Kraxberger
Administrative
Law Assistant
Peter Lindholm, J.D.
Associate
Read Bio
Meredith McNulty
Account
Development
Manager
Tori Moyer
Client Relations Manager
Kristy Myers
Administrative
Law Assistant
Haley Piper
Administrative
Law Assistant
Crystal Rodriquez
Account
Development
Representative
Sheyla Serrano
Client Relations Manager
Janay Simmons
Administrative
Law Assistant
Carla Smith
Discovery & Investor
Services Manager
Michael Wunderlich
Discovery & Investor
Services Manager
Josephine Jiron
Account
Development
Representative
Jason Kirkland
Executive Director
Belle Kraxberger
Administrative
Law Assistant
Peter Lindholm, J.D.
Associate
Read Bio
Meredith McNulty
Account
Development
Manager
Tori Moyer
Client Relations Manager
Kristy Myers
Administrative
Law Assistant
Haley Piper
Administrative
Law Assistant
Crystal Rodriquez
Account
Development
Representative
Sheyla Serrano
Client Relations Manager
Janay Simmons
Administrative
Law Assistant
Carla Smith
Discovery & Investor
Services Manager
Michael Wunderlich
Discovery & Investor
Services Manager
Hailey Harms
Administrative
Law Assistant
Dalton Hodges
Administrative
Law Assistant
Lisa Hurtado
Account
Development
Representative
Josephine Jiron
Account
Development
Representative
Jason Kirkland
Executive Director
Belle Kraxberger
Administrative
Law Assistant
Meredith McNulty
Account
Development
Manager
Haley Piper
Administrative
Law Assistant
Crystal Rodriquez
Account
Development
Representative
Sheyla Serrano
Client Relations Manager
Janay Simmons
Administrative
Law Assistant
Carla Smith
Account
Development
Representative
Michael Wunderlich
Discovery & Investor
Services Manager
Harris Freedman, J.D.
Managing Director
of Client Relations
Kenneth Garcia
Document Processing
Coordinator
Hailey Harms
Administrative
Law Assistant
Dalton Hodges
Administrative
Law Assistant
Lisa Hurtado
Account
Development
Representative
Josephine Jiron
Account
Development
Representative
Jason Kirkland
Executive Director
Belle Kraxberger
Administrative
Law Assistant
Meredith McNulty
Account
Development
Manager
Kristy Myers
Administrative
Law Assistant
Haley Piper
Administrative
Law Assistant
Crystal Rodriquez
Account
Development
Representative
Sheyla Serrano
Client Relations Manager
Janay Simmons
Administrative
Law Assistant
Carla Smith
Account
Development
Representative
Michael Wunderlich
Discovery & Investor
Services Manager
Meet Your Experts
Doc Kennedy, MBA, J.D.
Read Bio
Ryan Cohn, J.D.
Law Clerk
Andrea Dejear
Account
Development
Representative
Kenneth Garcia
Document Processing
Coordinator
Hailey Harms
Administrative
Law Assistant
Dalton Hodges
Administrative
Law Assistant
Lisa Hurtado
Account
Development
Representative
Josephine Jiron
Account
Development
Representative
Jason Kirkland
Executive Director
Belle Kraxberger
Administrative
Law Assistant
Meredith McNulty
Account
Development
Manager
Kristy Myers
Administrative
Law Assistant
Haley Piper
Administrative
Law Assistant
Crystal Rodriquez
Account
Development
Representative
Sheyla Serrano
Client Relations Manager
Janay Simmons
Administrative
Law Assistant
Carla Smith
Account
Development
Representative
Michael Wunderlich
Discovery & Investor
Services Manager
Tad Burton, J.D.
Managing Director
of Client Relations
Harris Freedman, J.D.
Senior Associate
Read Bio
Jason Kirkland
Executive Director
Peter Lindholm, J.D.
Associate
Read Bio
Meredith McNulty
Account Development
Manager
Sheyla Serrano
Client Relations Manager
Michael Wunderlich
Discovery & Investor
Services Manager
Elena Chandler
Administrative
Law Assistant
Tad Burton, J.D.
Managing Director
of Client Relations
Harris Freedman, J.D.
Senior Associate
Read Bio
Jason Kirkland
Executive Director
Peter Lindholm, J.D.
Associate
Read Bio
Kenneth Garcia
Document Processing
Coordinator
Melissa Gray
Account
Development
Representative
Hailey Harms
Administrative
Law Assistant
Dalton Hodges
Administrative
Law Assistant
Lisa Hurtado
Account
Development
Representative
Lisa Hurtado
Account
Development
Representative
Meredith McNulty
Account Development
Manager
Sheyla Serrano
Client Relations Manager
Michael Wunderlich
Discovery & Investor
Services Manager
Elena Chandler
Administrative
Law Assistant
Kenneth Garcia
Document Processing
Coordinator
Melissa Gray
Account
Development
Representative
Hailey Harms
Administrative
Law Assistant
Dalton Hodges
Administrative
Law Assistant
Lisa Hurtado
Account
Development
Representative
Lisa Hurtado
Account
Development
Representative
Enforcement Defense
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.
Advisors
Defended
U5 Terminations 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.
Reputations
Restored
Reputations
Restored
Father/Son Team Wins Termination Disclosure Expungement & $500,000 Award In FINRA Arbitration
Frequently Asked Questions
FINRA oversees an arbitration forum through which an advisor can argue for the removal of any meritless customer complaint disclosures. FINRA’s Rule 2080 governs the process and criteria by which these negative disclosures can be expunged. The process consists of a full administrative arbitration case to argue the merits of each disclosure and removal.
If you have received a FINRA inquiry letter (8210) you should immediately hire attorney representation. These inquiry letters are typically the first chance you will have to respond immediately and succinctly to FINRA about a possible rule violation. Since the consequences of any inaccurate response include the inability to work in the industry ever again, these letters should not be treated lightly. Any response will be the evidentiary basis for FINRA to determine rule violations and/or possible false statements by the advisor.FINRA inquiries often lead to investigations. If FINRA believes that there is a chance that a FINRA rule has been violated, their next step will be to request an On-the-Record interview with the advisor which is the beginning of a formal investigation. The advisor should take this step very seriously as the outcome may lead to sanctions, suspensions, or barring.
It depends on the nature of the customer complaint. If there was a violation of firm policy or FINRA regulation, the firm may move to terminate instead of mitigate the damage and risk. With each customer complaint, FINRA will initiate an inquiry to determine the severity of the alleged transgressions. If you sense that you are likely to be terminated, you should hire outside counsel immediately. The termination may initiate another negative BrokerCheck® disclosure for essentially the same underlying event.
Firms will typically not leave any physical record of misleading your clients with your BrokerCheck® disclosures to retain them given the risks of defamation claims. However, it is a widely accepted practice to imply wrongdoing by the departing advisor when a mass exodus of clients hangs in the balance. Depending on the facts of your case, you may initiate a FINRA arbitration case against your former firm alleging a basis for wrongful termination. There may also be a basis for monetary damages against your former employer.
Most states mirror the CRD database and therefore will be acutely aware of any new complaint. You may receive disclosures from one or more states in which you are registered in addition to the customer complaint disclosure posted by your firm. At the very least, you are likely to have to explain the disclosure every time you register or renew your licensure.
Frequently Asked Questions
FINRA’s Rule 2080 requires that you meet at least one of the following criteria: A) the claim, allegation, or information is factually impossible or clearly erroneous; B) the registered person was not involved in the alleged investment-related sales practice violation, forgery, theft, misappropriation, or conversion of funds; or C) the claim, allegation or information is false.
Firm compliance attorneys only represent the interests of their benefactor: the firm. If you choose to be represented by firm attorneys, you should be advised of the inherent conflict of interest of representing two parties whose interests may not perfectly align. You may wish to hire outside counsel if you feel that you are being forced to contribute to a settlement or are being saddled with a negative disclosure that you never earned.
If you have received a FINRA inquiry letter (8210), you should immediately hire an attorney for representation. These inquiry letters are typically the first chance you will have to respond immediately and succinctly to FINRA about a possible rule violation. Since the consequences of any inaccurate response include the inability to work in the industry ever again, these letters should not be treated lightly. Any response will be the evidentiary basis for FINRA to determine rule violations and/or possible false statements by the advisor.
Inquiry letters often lead to investigations. If FINRA believes that there is a chance that a FINRA rule has been violated, their next step will be to request an On-the-Record interview with the advisor which is the beginning of a formal investigation. The advisor should take this step very seriously as the outcome may lead to sanctions, suspensions, or barring.
An AWC (Acceptance, Waiver, and Consent Order) is similar to a plea bargain or settlement. After FINRA has investigated and gathered evidence against a financial advisor for a possible rule violation, they may negotiate a suspension and/or fine to draw the case to a conclusion. If the advisor signs the AWC they are accepting the plea deal, consenting to the sanctions, and waiving nearly all possible arguments to fight the AWC in the future.
An AWC is not always offered to settle a particular case. If an advisor is afforded an option to sign an AWC, there are many factors to weigh. These include the cost of litigation if not signed, the advisor’s career trajectory, legacy concerns, whether the advisor feels the settlement is fair and reasonable, business harm of the public AWC disclosure, and the timeframe of fighting the outcome.
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.
New disputes in the financial industry are disagreements between parties, usually a financial advisor and their employing firm, or the advisor and their client, in which FINRA has developed a forum to arbitrate or mediate the matter.
The decision to terminate advisors in the financial industry has been considered “weaponized” by many. Wrongful terminations are commonplace given conflicts over pay, alleged rule violations, firm politics, and large sums of revenue.
The remainder of the disputes take the form of a new complaint against a financial advisor by an investor attempting to reclaim losses. The most common allegations by investors are Breach of Fiduciary Duty, Negligence, Failure to Supervise, Misrepresentation, Suitability, Breach of Contract, Fraud, and Unauthorized Trading.
FINRA’s Enforcement Division is tasked with protecting investors by investigating the financial advisors it regulates to determine if they have broken any rules or regulations. Investigations may be opened through any number of pathways including terminations, customer complaints, and examinations. In the cases where FINRA Enforcement finds evidence of rules violations, FINRA may bring disciplinary actions against the advisor for their conduct. These actions generally include monetary fines, suspensions, and even bars from the industry.
AdvisorLaw represents financial advisors from all 50 states and Puerto Rico. Through our unique business structure, AdvisorLaw has the ability to represent Investment Advisor Representatives (IARs), as well as traditional brokers, wherever they may reside domestically. Through our affiliate partnerships, any administrative or legal route is available to our clients.
AdvisorLaw LLC
11001 W 120th Avenue, Suite 100, Broomfield, CO 80021