BrokerCheck & IAPD Expungement Services

The Internet makes it easy for prospective investors to learn about financial advisors’ employment history, as well as investor complaints, terminations, and regulatory violations.

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Disclosures Expunged

Is your career suffering from unfair allegations of wrongdoing?

You're not alone. Investor complaints, regulatory investigations, and firm terminations can cost you clients and opportunities.

Regain control of your narrative.


Because of the immediacy and ease of locating these negative disclosures on either BrokerCheck or the IAPD, individual advisors benefit considerably from the expungement of a mark that is tarnishing their name and brand. These public disclosures are readily viewable by anyone with an internet connection.

Through alternative dispute resolution forums, such as AAA and JAMS, there are several means by which AdvisorLaw can clean up your BrokerCheck or IAPD so that your personal and professional reputation is accurately depicted to the public and industry observers.

Through alternative dispute resolution forums, such as AAA and JAMS, there are several means by which AdvisorLaw can clean up your BrokerCheck or IAPD so that your personal and professional reputation is accurately depicted to the public and industry observers.

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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 ⭐⭐⭐⭐⭐

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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 ⭐⭐⭐⭐⭐


See Our Success Stories


Your Team of Seasoned Experts


Protecting Your Career, Every Step of the Way


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Doc Kennedy, MBA, J.D.

President & Founder
Read Bio
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Tad Burton, J.D.

Managing Director
of Client Relations

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Elena Chandler

Administrative
Law Assistant

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Andrea Dejear

Account
Development
Representative

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Harris Freedman, J.D.

Managing Director
of Client Relations

Image

Kenneth Garcia

Document Processing
Coordinator

Image

Hailey Harms

Administrative
Law Assistant

Image

Dalton Hodges

Administrative
Law Assistant

Image

Lisa Hurtado

Account
Development
Representative

Image

Josephine Jiron

Account
Development
Representative

Image

Jason Kirkland

Executive Director

Image

Belle Kraxberger

Administrative
Law Assistant

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Peter Lindholm, J.D.

Associate
Read Bio

Image

Meredith McNulty

Account
Development
Manager

Image

Tori Moyer

Client Relations Manager

Image

Kristy Myers

Administrative
Law Assistant

Image

Haley Piper

Administrative
Law Assistant

Image

Crystal Rodriquez

Account
Development
Representative

Image

Sheyla Serrano

Client Relations Manager

Image

Janay Simmons

Administrative
Law Assistant

Image

Carla Smith

Discovery & Investor
Services Manager

Image

Michael Wunderlich

Discovery & Investor
Services Manager

Image

Tad Burton, J.D.

Managing Director
of Client Relations
Read Bio
Image

Ryan Cohn, J.D.

Law Clerk

Image

Austin Davis, J.D.

Associate
Read Bio
Image

Andrea Dejear

Account
Development
Representative

Image

Harris Freedman, J.D.

Senior Associate
Read Bio
Image

Kenneth Garcia

Document Processing
Coordinator

Image

Hailey Harms

Administrative
Law Assistant

Image

Dalton Hodges

Administrative
Law Assistant

Image

Lisa Hurtado

Account
Development
Representative

Image

Josephine Jiron

Account
Development
Representative

Image

Jason Kirkland

Executive Director

Image

Belle Kraxberger

Administrative
Law Assistant

Image

Peter Lindholm, J.D.

Associate
Read Bio
Image

Meredith McNulty

Account
Development
Manager

Image

Kristy Myers

Administrative
Law Assistant

Image

Alex Padla, J.D.

Associate
Read Bio
Image

Haley Piper

Administrative
Law Assistant

Image

Crystal Rodriquez

Account
Development
Representative

Image

Sheyla Serrano

Client Relations Manager

Image

Janay Simmons

Administrative
Law Assistant

Image

Carla Smith

Account
Development
Representative

Image

Michael Wunderlich

Discovery & Investor
Services Manager

Image

Tad Burton, J.D.

Managing Director
of Client Relations

Image

Elena Chandler

Administrative
Law Assistant

Image

Andrea Dejear

Account
Development
Representative

Image

Harris Freedman, J.D.

Managing Director
of Client Relations

Image

Kenneth Garcia

Document Processing
Coordinator

Image

Hailey Harms

Administrative
Law Assistant

Image

Dalton Hodges

Administrative
Law Assistant

Image

Lisa Hurtado

Account
Development
Representative

Image

Tad Burton, J.D.

Managing Director
of Client Relations
Read Bio
Image

Ryan Cohn, J.D.

Law Clerk

Image

Austin Davis, J.D.

Associate
Read Bio
Image

Andrea Dejear

Account
Development
Representative

Image

Tad Burton, J.D.

Managing Director
of Client Relations
Read Bio
Image

Ryan Cohn, J.D.

Law Clerk

Image

Austin Davis, J.D.

Associate
Read Bio
Image

Andrea Dejear

Account
Development
Representative

Image

Harris Freedman, J.D.

Senior Associate
Read Bio
Image

Kenneth Garcia

Document Processing
Coordinator

Image

Josephine Jiron

Account
Development
Representative

Image

Jason Kirkland

Executive Director

Image

Belle Kraxberger

Administrative
Law Assistant

Image

Peter Lindholm, J.D.

Associate
Read Bio

Image

Meredith McNulty

Account
Development
Manager

Image

Tori Moyer

Client Relations Manager

Image

Kristy Myers

Administrative
Law Assistant

Image

Haley Piper

Administrative
Law Assistant

Image

Crystal Rodriquez

Account
Development
Representative

Image

Sheyla Serrano

Client Relations Manager

Image

Janay Simmons

Administrative
Law Assistant

Image

Carla Smith

Discovery & Investor
Services Manager

Image

Michael Wunderlich

Discovery & Investor
Services Manager

Image

Hailey Harms

Administrative
Law Assistant

Image

Dalton Hodges

Administrative
Law Assistant

Image

Lisa Hurtado

Account
Development
Representative

Image

Josephine Jiron

Account
Development
Representative

Image

Jason Kirkland

Executive Director

Image

Belle Kraxberger

Administrative
Law Assistant

Image

Peter Lindholm, J.D.

Associate
Read Bio
Image

Meredith McNulty

Account
Development
Manager

Image

Alex Padla, J.D.

Associate
Read Bio
Image

Haley Piper

Administrative
Law Assistant

Image

Crystal Rodriquez

Account
Development
Representative

Image

Sheyla Serrano

Client Relations Manager

Image

Janay Simmons

Administrative
Law Assistant

Image

Carla Smith

Account
Development
Representative

Image

Michael Wunderlich

Discovery & Investor
Services Manager

Image

Harris Freedman, J.D.

Managing Director
of Client Relations

Image

Kenneth Garcia

Document Processing
Coordinator

Image

Hailey Harms

Administrative
Law Assistant

Image

Dalton Hodges

Administrative
Law Assistant

Image

Lisa Hurtado

Account
Development
Representative

Image

Josephine Jiron

Account
Development
Representative

Image

Jason Kirkland

Executive Director

Image

Belle Kraxberger

Administrative
Law Assistant

Image

Peter Lindholm, J.D.

Associate
Read Bio
Image

Meredith McNulty

Account
Development
Manager

Image

Kristy Myers

Administrative
Law Assistant

Image

Alex Padla, J.D.

Associate
Read Bio
Image

Haley Piper

Administrative
Law Assistant

Image

Crystal Rodriquez

Account
Development
Representative

Image

Sheyla Serrano

Client Relations Manager

Image

Janay Simmons

Administrative
Law Assistant

Image

Carla Smith

Account
Development
Representative

Image

Michael Wunderlich

Discovery & Investor
Services Manager

 

Customer Dispute Expungement

Our staff is well versed in the process of obtaining relief requiring FINRA 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.

Unauthorized Trading, Investor Complaints, Failure to Supervise, Breach of Fiduciary Duty, Negligence, Suitability, and Misrepresentation disclosures - these may all qualify to be cleared from the CRD and IARD records the appropriate expungement process.​

How much would losing even ONE prospective household cost you over the life span of the average account?​

Schedule Consultation
 

Criminal Expungement

AdvisorLaw provides the best possible representation in state court to expunge criminal disclosures that show up on BrokerCheck or the IAPD. Rules vary widely between states, and not everyone offers the ability to expunge old offenses. However, if available, financial advisors may qualify to have any record of past criminal offenses sealed or destroyed and subsequently removed from their CRD. Take a look at our recent Criminal Disclosure awards here.

Schedule Consultation

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.

 
 

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.

Tax Lien Expungement

Few disclosures may negatively affect a financial professional more than a disclosure denoting federal tax liens. Although these may often be caused by medical or family situations that are beyond the control of the financial advisor, investors will simply be unforgiving when it comes to massive tax debts.

Expungement of any IRS liens is a critical step in the race to control your narrative. Whether you're on a payment plan or need assistance with resolving the debt you've already incurred, AdvisorLaw can help. We have proven strategies for resolving back taxes and expunging the liens that plague your public record.

Schedule Consultation
 

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.

Contact us today!

Contact Form Main


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

303-952-4025

Contact us today!

Contact Form Main


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

303-952-4025

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

303-952-4025


Our Expungement
Case Results


We only represent financial advisors and wealth managers. Many of these cases are resolved through settlements, alternative arbitration, or simple negotiation and many times are not able to be made publicly available due to the terms of the agreement. 

One of the arenas of defense that does allow for republication of case results is through FINRA's Dispute Resolution Forum, which a majority of our expungement cases run through. Therefore, although not representative of all of our various dealings on behalf of advisors and wealth managers, the following cases are shown as a testament to our strength and market share in defending representatives this industry.

AdvisorLaw offers creative solutions to bring you a quicker turnaround, lower fees, and higher win-rates. We have the expertise on staff to defend your interests and maximize your profit.

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CRD Disclosures Expunged

All AdvisorLaw FINRA Expungement Cases:

View All


Customer Dispute Expungement

We only represent financial advisors and wealth managers. Many of our cases are resolved through settlements, alternative arbitration, or simple negotiation — and oftentimes, these cases are not able to be made publicly available, due to the terms of an agreement.

One of the arenas of defense that does allow for republication of case results is FINRA's Dispute Resolution Forum, through which we run the majority of our FINRA expungement cases. So while not representative of all of our various dealings on behalf of advisors and wealth managers, the following cases are shown as a testament to our strength and market share in defending representatives this industry.

Take a look at all of AdvisorLaw's FINRA expungement cases:


View All

AdvisorLaw offers creative solutions to bring you a quicker turnaround, lower fees, and higher win rates. We have the expertise on staff to defend your interests and maximize your profit.

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CRD Disclosures Expunged




Dealing with a meritless disclosure on your BrokerCheck, IAPD/IARD, or CRD record?


Contact Us

Highlighted Cases


Customer Dispute Expungement




Form U5 Termination Expungement




Criminal Disclosure Expungement




Contact us today for a complimentary consultation:

Results Contact Form

 

Contact us to discuss AdvisorLaw's Customer Complaint or U5 Termination Defense services.

The consultation is free, and our services were created exclusively for financial advisors
(303) 952-4025

Schedule a complimentary consultation today!

ROBUST DEFENSE & EXPUNGEMENT CONTACT

11001 W 120th Avenue, Suite 100, Broomfield, CO 80021

(303) 952-4025

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