A financial advisor from the west coast was terminated for an alleged violation of a firm policy. During her tenure with the firm, she was never disciplined and consistently received positive performance reviews from her bosses and clients.
Results
Our Expungement Case Results Expungement Case Results Complimentary Consultation AdvisorLaw provides representation against all threats, including FINRA Enforcement, state regulators, the CFP Board, firm compliance, and retail investors. 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 …
Paul Davidson
Success Story: FINRA Inquiry & Transitionto RIA Paul Davidson A financial advisor in his prime growth years has to contend with a FINRA enforcement inquiry and his firm deciding to not stand behind him. What begins as a verifiable threat to his career ends up in a defining transition for the better. Situation BlindsidedMr. Davidson was registered with a broker-dealer …
Mary Salinas
Success Story: U5 Expungement Mary Salinas Ms. Salinas was a financial advisor in Arizona, two children, and in her late 40’s working internally for a bank branch. Although she produced well, she found herself looking at options once she realized that the firm politics were working against her. Upon leaving, she realized just how it easy it is for a …
Disclosure Expungement
Disclosure Expungement Complimentary Consultation Disclosure Expungement Complimentary Consultation Potential investors and employers can easily find negative BrokerCheck, IAPD, IARD, and CRD disclosures — disclosures can cost money and even careers. 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, …
New Disputes
New Dispute Allegations Complimentary Consultation U5 Terminations & New Dispute Allegations Complimentary Consultation If you have been blindsided by a new customer complaint or threatened with negative FINRA Form U4 or U5 language, ask your firm’s compliance who it represents. It’s not you. *If you were recently terminated, please call us immediately at (303) 952-4025. Our initial consultations are …