Outsourcing Your RIA Compliance To Experts —Always A Better Value

As we approach the end of the year, it's crucial to act now to protect and enhance your professional reputation. Recent regulatory changes to FINRA's customer dispute expungement process have made it essential to initiate your case addressing any unwarranted or outdated disclosures on your BrokerCheck and CRD records before year-end.

Why Act Now?

  • Timely Resolution: With increasing challenges to the expungement process, acting quickly is crucial to ensure that your case is resolved under the current framework, safeguarding your professional record before further obstacles arise.
  • Tax Benefits: Starting your expungement case now could allow you to deduct related expenses on your 2024 tax return — potentially reducing your financial burden, while securing your professional future.
  • Strengthened Professional Reputation: Clearing your record restores your credibility and enhances your ability to attract new clients and capitalize on career opportunities — a clean record is a cornerstone of professional success.

Important Changes To Expungement Rules

Investor complaints filed after October 2025 may no longer be eligible for expungement through FINRA's forum. Taking action now ensures that you can address your record before potential regulatory shifts affect the process.

Partner with AdvisorLaw For Expert Guidance

With over 2,750 successful expungements, AdvisorLaw has the experience and expertise to guide you through the process efficiently. Our team understands the complexities of FINRA expungement and is dedicated to helping you achieve the best outcome.

Take The First Step Today

Contact AdvisorLaw for a complimentary consultation to evaluate your specific situation. Our experts will assess the viability of expungement for your case and guide you through the process. Don’t delay — initiating your expungement case before year-end is the key to securing your professional reputation and future opportunities.

Take control of your professional future. Act now to ensure that your record reflects your true professionalism — before the opportunity is lost.

FINRA | Expungement Blog Contact