Counter false allegations, preserve your reputation, and reclaim your integrity.
Fearless defense against investor complaints, regulatory investigations, and termination disputes.
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.
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 âââââ
"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 âââââ
"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 âââââ
"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 âââââ
"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 Edwardsâââââ
"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 Owenâââââ
"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 Lorisâââââ
"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 Kriegerâââââ
"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 Crassaâââââ
"Wonderful experience with results exactly as advertised. They were able to clean up my U4 that were not reflective of my professional record."
- Thomas Clarkâââââ
"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 Bindelglassâââââ
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.
Disclosures
Expunged
Disclosures
Expunged
Meet Your Experts
Meet Your Experts
Josh Barber
CIO & Co-Founder
CIO & Co-Founder
Tad Burton, J.D.
Managing Director
of Client Relations
Austin Davis, J.D.
Associate
Harris Freedman, J.D.
Senior Associate
Dalton Hodges
Administrative
Law Assistant
Lisa Hurtado
Account
Development
Representative
Dailla Hut
Account Development
Representative
Josephine Jiron
Account Development
Representative
Doc Kennedy, MBA, J.D.
President & Co-Founder
Jason Kirkland
Executive Director
Tessa Kopp
Account Development
Representative
Peter Lindholm, J.D.
Associate
Meredith McNulty
Account Development
Manager
Alex PadLa, J.D.
Associate
Sheyla Serrano
Client Relations Manager
Janay Simmons
Administrative
Law Assistant
Carla Smith
Discovery & Investor Services Manager
Discovery & Investor
Services Manager
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.
Advisors
Defended
Stay Ahead Of The Curve
Stay Ahead Of
The Curve
Stay Ahead Of The Curve
Steps To Prepare Your RIA For The SEC’s Cybersecurity Rules
Beyond The Marketplace: Finding Real RIA Acquisition Opportunities
Navigating The Encrypted Messaging Maze: A Guide For RIAs
FINRA Enforcement Actions Hits 8-Year High
Dallas Advisorâs Customer Dispute Expunged By FINRA Panel
Steps To Prepare Your RIA For The SEC’s Cybersecurity Rules
Beyond The Marketplace: Finding Real RIA Acquisition Opportunities
Navigating The Encrypted Messaging Maze: A Guide For RIAs
FINRA Enforcement Actions Hits 8-Year High
Dallas Advisorâs Customer Dispute Expunged By FINRA Panel
U5 Terminations 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.
Reputations
Restored
Reputations
Restored
A Termination Disclosure Expungement Win For California Investment Adviser Representative
Bay Area Advisor Restores Perfect, 30-Year BrokerCheck Records With Termination Expungement
Frequently Asked Questions
FINRAâs 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.
The âAllegations" portion of your U5 disclosure is input by the terminating firmâs compliance. You may negotiate the exact language within 30 days of termination. The âBroker Commentâ section is where you may submit your response to the allegations (subject to FINRA approval).
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 the regulators 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 to determine rule violations and/or possible false statements by the advisor.
Frequently Asked Questions
FINRAâs 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 advisorâs 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.
FINRAâs 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 advisorâs 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.
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.