AdvisorLaw defends financial advisors and wealth managers in many different scenarios.
We represent our clients against all threats including FINRA Enforcement, state regulators, the CFP Board, firm compliance, and retail investors is paramount to our mission.
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.
All AdvisorLaw Expungement Cases:
AdvisorLaw offers creative solutions to bring you a quicker turnaround, lower fees, and higher win-rates.
Whether you are changing wirehouses, going independent, becoming an RIA, or looking to buy or sell a financial practice, we have the expertise on staff to defend your interests and maximize your profit.