In the late 1990s, about ten years into his career as a financial services professional, this advisor was terminated from the firm he had joined not two years prior. After the termination disclosure sat on his CRD and IAPD records for 25 years, the advisor decided it was time to seek expungement, and he hired AdvisorLaw to bring him through FINRA’s Dispute Resolution forum.
Louisiana Advisor Restores Record By Removing U5 Termination
A Louisiana-based advisor had one disclosure on his record — a Form U5 termination from 2009 alleging that he had “altered” a client’s variable annuity policy form. He hired AdvisorLaw to seek expungement of the disclosure through FINRA Dispute Resolution.
San Francisco Advisor Expunges U5 Termination Disclosure
An advisor with over 15 years in the industry was terminated in April of 2021. She hired AdvisorLaw right away to seek the removal of the allegations from her public records. Upon joining the firm in early 2017, the advisor found it challenging to obtain information from her manager regarding Schwab’s business procedures. In an effort to prevent any compliance issues, she sought insight from others in management. When the effects of COVID necessitated office closures in March 2020, the advisor was required to continue working from the office with approximately four other branch employees, while the majority of her colleagues worked from home.
Advisor Receives U5 Termination Disclosure Due to COVID-19
FINRA Form U5 Expungement Award: Advisor Receives U5 Termination Disclosure Due to COVID-19 FINRA Form U5 Expungement Award: Advisor Receives U5 Termination Disclosure Due to COVID-19 *If you’re under FINRA or SEC investigation, or if you have a meritless disclosure on your BrokerCheck, CRD, or IAPD record, call us right now at (303) 952-4025 or click here to talk with an attorney and receive …
Young Financial Advisor Seeks Expungement of U5 Disclosure
A young financial and investment advisor from Arizona sought expungement of a Form U5 termination disclosure from his Central Registration Depository (CRD) record and online BrokerCheck profile.
AdvisorLaw’s new “Rideshare Program” helps financial advisors expunge customer disputes and U5 termination disclosures
AdvisorLaw is now offering a “Rideshare Program” for financial advisors seeking to expunge customer dispute or U5 termination disclosures for the entire month of December. With over 40 million visitors to BrokerCheck® every year, you and your teammates can’t afford to lose a client over a meritless disclosure on your record. But we can help to restore your good name.