The internet makes it easy for prospective investors to learn about financial advisors’ employment history, certification and licenses, as well as investor complaints, terminations, and regulatory violations. In fact, FINRA cited 40 million visitors to BrokerCheck just last year.

Because of the immediacy and ease of locating these negative disclosures on either BrokerCheck or the IAPD, individual advisors benefit considerably from FINRA and CRD expungement of a mark that is tarnishing their name and brand.

 

Our staff is well versed in the process of obtaining an order of FINRA expungement to remove these meritless investor complaints from BrokerCheck and the CRD (Form U4 and Form U5 Termination Disclosures, or Customer Separation after Allegation) as if they never happened.

Take a look at our recent Customer Dispute awards here.