
Counter false allegations, preserve your reputation, and reclaim your integrity.
Counter false allegations, preserve your reputation, and reclaim your integrity.
Fearless defense against investor complaints, regulatory investigations, and termination disputes.

Counter false allegations, preserve your reputation, and reclaim your integrity.
Fearless defense against investor complaints, regulatory investigations, and termination disputes.
Don't let these challenges derail your career.
AdvisorLaw's team of skilled attorneys specializes in protecting the careers of financial advisors and provides comprehensive support for FINRA inquiries, disciplinary actions, and expungement proceedings. Reclaim your reputation, boost your potential, and get back on track with the trusted guidance of AdvisorLaw.
Don't let industry attacks derail your career.
Don't let industry attacks derail your career.
Our team of seasoned attorneys specializes in protecting the careers of financial advisors and provides a comprehensive defense of FINRA, SEC, and state investigations, disciplinary actions, and expungement of public disclosures. Reclaim your narrative with our trusted counsel.

What Our Clients Say About Us
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 ⭐⭐⭐⭐⭐
"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 ⭐⭐⭐⭐⭐
"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 ⭐⭐⭐⭐⭐
"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 ⭐⭐⭐⭐⭐
"I worked with Advisor Law to have a frivolous complaint removed from Broker Check. While FINRA determined there was no validity to the complaint I needed to take action to clear my record.Advisor Law was easy to work with, did exactly what they said they would do, exactly when they said they would do it, and coached me through the process.While I never want to experience this type of event again, I would call them in a heart beat should the need arise."
- Mark Edwards⭐⭐⭐⭐⭐
"Great people to have in your corner. Very professional, knowledgeable, and results oriented. I'm glad they are on my team. When I needed defense over a bogus claim, they were amazing, and protected me and my team."
- Dean Owen⭐⭐⭐⭐⭐
"Advisor Law's knowledge, detail oriented, and expertise, are excellent. I had worked with an attorney previously and they did nothing compared to what Advisor Law was able to accomplish. Truely a professional organization who cared about my case, took responsibility and treated me with utmost respect. I recommend contacting Advisor Law and see if they can help your situation!"
- Patty Loris⭐⭐⭐⭐⭐
"Chelsea and the entire team were fantastic to deal with. Diligent and patient through a grinding process, and they really helped me through some challenges. So appreciate their help in providing justice to my records, comprehensive preparation for hearings and taking the reins in my expungement process. Thank You!!"
- Bob Krieger⭐⭐⭐⭐⭐
"Advisor Law was great to work with, and they made everything fast and easy. They helped me with my case, and a favorable outcome. The attorney they had me working with was professional, courteous, and knew what he was doing."
- Rinaldo Crassa⭐⭐⭐⭐⭐
"Wonderful experience with results exactly as advertised. They were able to clean up my U4 that were not reflective of my professional record."
- Thomas Clark⭐⭐⭐⭐⭐
"Advisor Law provided terrific service with my expungement cases. Their direct professional care was highly successful to remove nuisance records for me. I would highly recommend everyone at Advisor Law as the team effort yielded superior results."
- David Bindelglass⭐⭐⭐⭐⭐

BrokerCheck & IAPD Expungement Services
BrokerCheck & IAPD
Expungement Services
BrokerCheck & IAPD
Expungement Services
Disclosures
Expunged
Disclosures
Expunged
Meet Your Experts
Meet Your Experts

Josh Barber
CIO & Co-Founder
CIO & Co-Founder

Tad Burton, J.D.
Managing Director
of Client Relations

Austin Davis, J.D.
Associate

Harris Freedman, J.D.
Senior Associate

Dalton Hodges
Lead Administrative
Law Assistant

Josephine Jiron
Account Development
Representative

Doc Kennedy, MBA, J.D.
President & Co-Founder

Jason Kirkland
Executive Director

Peter Lindholm, J.D.
Associate

Meredith McNulty
Account Development
Manager

Alex PadLa, J.D.
Associate

Sheyla Serrano
Client Relations Manager

Janay Simmons
Administrative
Law Assistant

Carla Smith
Discovery & Investor Services Manager
Discovery & Investor
Services Manager

Michael Wunderlich
Discovery & Investor
Services Manager
Discovery & Investor Services Manager

Enforcement Defense
Enforcement Actions
Enforcement Actions
Staring down a FINRA, SEC, or state regulatory investigation can be unnerving and may put your financial career in jeopardy. Whether you face allegations of misconduct, sales practice violations, supervisory failures, or other regulatory infractions, the stakes are sky-high. Our team of veteran attorneys specializes in defending financial professionals against a broad spectrum of regulatory charges.
Advisors
Defended
Defended
Our Experts

Stay Ahead Of
The Curve
Stay Ahead Of
The Curve
Stay Ahead Of The Curve

CFP Board vs. BrokerCheck: A Battle for Advisor Fairness

Outsourced CCO for RIAs: Is It SEC-Compliant?

Your 2025 RIA Compliance Checklist: Insights from a Leading Expert

Financial Advisor Disclosures: How a “Marked” Record Can Tank Your Career Mobility

Financial Advisor M&A Consulting: Maximizing Your Practice Value with AdvisorLaw

CFP Board vs. BrokerCheck: A Battle for Advisor Fairness

Outsourced CCO for RIAs: Is It SEC-Compliant?

Your 2025 RIA Compliance Checklist: Insights from a Leading Expert

Financial Advisor Disclosures: How a “Marked” Record Can Tank Your Career Mobility

Financial Advisor M&A Consulting: Maximizing Your Practice Value with AdvisorLaw

Terminations Disputes
Termination Disputes
Termination Disputes
Being terminated can be a disorienting experience. With many firms “weaponizing” the disclosure of termination, it can be a crucial time to defend your ability to make a living. Our team of hardened attorneys specializes in countering allegations of wrongdoing, while simultaneously developing the most efficient strategy to regain your ability to generate income.
Reputations
Restored
Reputations
Restored

A Termination Disclosure Expungement Win For California Investment Adviser Representative

Bay Area Advisor Restores Perfect, 30-Year BrokerCheck Records With Termination Expungement
Our Experts
Frequently Asked Questions
Facing a FINRA, SEC, or state regulatory investigation can be very unsettling and jeopardize your financial career. If you receive an inquiry or allegation of misconduct, sales practice violations, or supervisory failures, the first critical step is to seek experienced legal counsel immediately. Through our sister law firm, our attorneys specialize in defending financial professionals against a broad spectrum of regulatory charges, providing comprehensive defense to protect your career. We have defended over 500 advisors.
Yes, we specialize in the expungement of customer complaints and other negative disclosures from your public record, including BrokerCheck and IAPD. Our process involves navigating dispute resolution forums to demonstrate that the claims are unfounded, meritless, or factually incorrect. Successfully expunging these disclosures is vital for restoring your personal and professional reputation and ensuring your public profile accurately reflects your integrity.
If you have been terminated, especially with allegations of wrongdoing, it is a crucial time to defend your ability to make a living. Firms sometimes "weaponize" termination disclosures (Form U5). Through our sister law firm, our hardened attorneys specialize in countering such allegations and developing strategies to help you regain your income-generating ability. We also assist with claims against employers for wrongful termination or partnership disputes, providing strategic and tailored counsel to pursue claims or build formidable defenses. We have restored over 1,000 reputations.
Frequently Asked Questions
Facing a FINRA, SEC, or state regulatory investigation can be very unsettling and jeopardize your financial career. If you receive an inquiry or allegation of misconduct, sales practice violations, or supervisory failures, the first critical step is to seek experienced legal counsel immediately. Through our sister law firm, our attorneys specialize in defending financial professionals against a broad spectrum of regulatory charges, providing comprehensive defense to protect your career. We have defended over 500 advisors.
Yes, we specialize in the expungement of customer complaints and other negative disclosures from your public record, including BrokerCheck and IAPD. Our process involves navigating dispute resolution forums to demonstrate that the claims are unfounded, meritless, or factually incorrect. Successfully expunging these disclosures is vital for restoring your personal and professional reputation and ensuring your public profile accurately reflects your integrity.
If you have been terminated, especially with allegations of wrongdoing, it is a crucial time to defend your ability to make a living. Firms sometimes "weaponize" termination disclosures (Form U5). Through our sister law firm, our hardened attorneys specialize in countering such allegations and developing strategies to help you regain your income-generating ability. We also assist with claims against employers for wrongful termination or partnership disputes, providing strategic and tailored counsel to pursue claims or build formidable defenses. We have restored over 1,000 reputations.
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.
Facing a FINRA, SEC, or state regulatory investigation can be very unsettling and jeopardize your financial career. If you receive an inquiry or allegation of misconduct, sales practice violations, or supervisory failures, the first critical step is to seek experienced legal counsel immediately. Through our sister law firm, our attorneys specialize in defending financial professionals against a broad spectrum of regulatory charges, providing comprehensive defense to protect your career. We have defended over 500 advisors.
Yes, we specialize in the expungement of customer complaints and other negative disclosures from your public record, including BrokerCheck and IAPD. Our process involves navigating dispute resolution forums to demonstrate that the claims are unfounded, meritless, or factually incorrect. Successfully expunging these disclosures is vital for restoring your personal and professional reputation and ensuring your public profile accurately reflects your integrity.
If you have been terminated, especially with allegations of wrongdoing, it is a crucial time to defend your ability to make a living. Firms sometimes "weaponize" termination disclosures (Form U5). Through our sister law firm, our hardened attorneys specialize in countering such allegations and developing strategies to help you regain your income-generating ability. We also assist with claims against employers for wrongful termination or partnership disputes, providing strategic and tailored counsel to pursue claims or build formidable defenses. We have restored over 1,000 reputations.

Claims Against Employers & Business Partners
Claims Against Employers &
Business Partners
Claims Against Employers& Business Partners
For clients involved in employment or partnership disputes, our team of uniquely experienced and specialized attorneys offers strategic and tailored counsel. We combine meticulous analysis with assertive advocacy to vigorously pursue claims or build formidable defenses, consistently striving to maximize client success.
Our Experts