
While financial advisors historically sought expungement of customer disputes through the FINRA arbitration forum, recent changes to the rules have made this route highly impractical and often inadvisable.
Pioneering Alternative Expungement Solutions
AdvisorLaw has pioneered and perfected alternative means through which financial advisors can still achieve expungement relief that is no longer reasonably available through the traditional FINRA process.
Through alternative methods, we employ specialized strategies to clean up your BrokerCheck and IAPD records. We regularly obtain orders requiring FINRA to remove disclosures like:
- Customer Separation After Allegation (ESAA) marks
- Unauthorized Trading, Suitability, and Misrepresentation
- Failure to Supervise, Breach of Fiduciary Duty, and Negligence

Josh Barber

Tad Burton, J.D.
Managing Director
of Client Relations

Jennifer Cox, J.D.
Senior Associate

Austin Davis, J.D.
Senior Associate

Dalton Hodges
Lead Administrative
Law Assistant

Josephine Jiron
Account Development
Representative

Doc Kennedy, MBA, J.D.
President & Co-Founder

Jason Kirkland
Executive Director

Peter Lindholm, J.D.
Associate

Meredith McNulty
Account Development
Manager

Alex PadLa, J.D.
Senior Associate

Sheyla Serrano
Client Relations Manager

Daniel Simms
Account Development
Representative

Janay Simmons
Administrative
Law Assistant

Carla Smith

Michael Wunderlich

A termination disclosure on your Form U5 (or an Employment Separation After Allegation mark) presents a significant hurdle. A single U5 termination disclosure can make transitioning to a new firm substantially more difficult and often results in reduced transition compensation.
Crucially, neither your former nor current employer can unilaterally clear your CRD. Full expungement of a U5 termination disclosure must be granted by a FINRA arbitration panel.
We meticulously analyze the facts surrounding your departure and aggressively pursue the arbitration process necessary to achieve the expungement of inaccurate or misleading termination disclosures.


Criminal disclosures, even for past offenses, can appear on your BrokerCheck and IAPD profiles, creating an unnecessary professional barrier.
AdvisorLaw ensures you have the best possible legal representation in state court to expunge these disclosures. While rules vary by state, if eligible, we work to have records of past criminal offenses sealed or destroyed and subsequently removed from your CRD.






