Our Expungement
Case Results
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 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.
AdvisorLaw offers creative solutions to bring you a quicker turnaround, lower fees, and higher win-rates. We have the expertise on staff to defend your interests and maximize your profit.
CRD Disclosures Expunged
All AdvisorLaw FINRA Expungement Cases:
Customer Dispute Expungement
We only represent financial advisors and wealth managers. Many of our cases are resolved through settlements, alternative arbitration, or simple negotiation — and oftentimes, these cases are not able to be made publicly available, due to the terms of an agreement.
One of the arenas of defense that does allow for republication of case results is FINRA's Dispute Resolution Forum, through which we run the majority of our FINRA expungement cases. So while 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.
Take a look at all of AdvisorLaw's FINRA expungement cases:
AdvisorLaw offers creative solutions to bring you a quicker turnaround, lower fees, and higher win rates. We have the expertise on staff to defend your interests and maximize your profit.
CRD Disclosures Expunged
Do you have a meritless disclosure on your BrokerCheck, IAPD,
or CRD record?
Highlighted Cases
Customer Dispute Expungement
- Michigan Advisor Wins 3 Of 3 Disclosure Expungements Sought
- Louisiana Advisor Clears Records With Triple Disclosure Expungement
- Colorado Advisor’s Perfect Record Restored With Expungement
- Veteran Massachusetts Advisor Wins Expungement Of 5 Disputes
- Missouri Advisor Wipes 4 Customer Disputes From His Records
- Another Advisor’s Perfect Record Restored With Expungement
- Florida Advisor Scores Epic Win With Removal Of 9 Disclosures
- Boca Raton Advisor Clears Records With Expungement
- Florida Advisor Restores Perfect BrokerCheck Record
- Arbitration Panel Rewards Expungement of 2 Disputes From 2003
- Memphis Advisor Clears Disclosures From BrokerCheck and CRD
- New York Advisor Removes Customer Dispute Seeking $1.25M
- Maryland Advisor Restores His Disclosure-Free Records
- California Advisor Removes 13-Year-Old Customer Dispute
- Arbitration Panel Rewards Expungement of 2 Disputes From 2003
- Colorado Advisor’s Settled Dispute Disclosure Expunged
- New Jersey Advisor Wipes Sole Customer Dispute From Records
- Wisconsin Advisor Wins Expungement Despite Customer Opposition
- North Carolina Advisor Removes 20-Year-Old Settled Dispute
- Veteran Advisor Expunges Settled Customer Dispute Disclosure
- Advisor Wins Expungement Of Dispute With $400,000 Settlement
- Husband And Wife Achieve Expungement Of 4 Customer Claims
- MedCap-Related Disclosure With A Large Settlement Expunged
- Financial Consultant Restores Perfect Record With Expungement
- Sole Customer Dispute Expunged From Phoenix Advisor’s Records
- New Jersey Advisor Removes Four Settled Customer Disputes
- 20-Year-Old Dispute With $225,000 Settlement Expunged
- Connecticut Advisor Achieves Expungement Of Three REITs
- Texas Advisor Achieves Expunges Sole Customer Dispute
- A San Jose Advisor Restores His Perfect Public Record
- FINRA Arbitrator Grants Expungement Of 3 Settled Disputes
- Advisor’s Four Decades-Old FINRA Disclosures Expunged
- 6 FINRA Customer Disputes Expunged Dating Back To The 1990s
- Pennsylvania Advisor Clears His Records Of FINRA Disclosures
- Washington Advisor Wins Expungement Of Settled Disputes
- South Carolina Advisor Removes 3 Disputes From His Records
- Advisor Expunges Three Heavily-Settled Customer Disputes
- Ohio Advisor Restores His Spotless Record After Dispute
- Las Vegas Advisor Granted Expungement Of 2 Settled Disputes
- Financial Advisor Granted Expungement Of Sole Disclosure
- Florida Advisor Removes Settled Misrepresentation Dispute
- Advisor Granted Expungement Of 2 Decades-Old Disclosures
- Advisor Achieves Expungement Of Settled Customer Dispute
- Advisor Expunges Two, Nearly $1 Million-Settled Disputes
- Puerto Rico Advisor Clears 14 P.R. Bond-Related Claims
- Unsuitability & Misrepresentation Cleared From Broker’s Record
- Oregon Advisor Clears Five Customer Dispute Disclosures
- Advisor Prevails – Award/Judgment Customer Dispute Expunged
- California Advisor Removes 20-Year-Old, Settled Dispute
- Advisor Expunges Three Customer Disputes, Clearing His Record
- Denied, VUL-Related Complaint Expunged After A Decade On Record
- Hybrid Broker Expunges 2 Customer Disputes From BrokerCheck
- Repeat Client Expunges Two Remaining Complaints
- Advisor Seeks Expungement of 30-Year-Old Complaint
- Advisor Seeks to Expunge 6 Customer Complaints Over 30 Years
- Texas Advisor Seeks to Expunge 5 Disputes From BrokerCheck
- 25-Year Financial Professional Expunges Settled Dispute
- Advisor Removes Single-Denied Customer Dispute Disclosure
- Financial Advisor Demands Expungement of Customer Dispute
- Illinois Advisor Expunges 10-Year-Old Customer Complaint
- Two Advisors Seek Combined Expungement of Customer Complaint
- 30-Year Veteran Wins Expungement Of 5 Customer Complaints
- Advisor Successfully Expunges 8 Customer Dispute Disclosures
Form U5 Termination Expungement
- Florida Advisor Removes Termination Disclosures From Records
- Dallas Advisor Wins Expungement Defamatory Termination
- Daytona Beach Advisor Removes Termination Disclosures
- Seattle Advisor Wins Expungement Of Termination Disclosure
- Maine Advisor Achieves Removal Of Firm-Opposed Termination
- Louisiana Advisor Restores Record By Removing U5 Termination
- Michigan Advisor Removes Termination Disclosure From Records
- Advisor Expunges Form U5 Termination Disclosure From 2013
- Advisor Removes 2020 FINRA Form U5 Termination Disclosure
- San Francisco Advisor Expunges U5 Termination Disclosure
- Advisor Expunges Termination & Internal Review Disclosures
- Advisor Removes Unwarranted Form U5 Termination Disclosure
- Advisor Wins Expungement Of Duplicate Termination Disclosures
- A 1991 Form U5 Termination Disclosure Removed From Record
- Form U5 Termination Removed From Advisor’s Records
- Advisor's Termination & Internal Investigation Removed
- Advisor In Colorado Expunges Form U5 Termination Disclosure
- Advisor Back In Action With A Clean Record After Termination
- Advisor Receives U5 Termination Disclosure Due to COVID-19
- Advisor Restores Record After Alleged Firm Violation
- Investment Advisor Seeks Expungement of Form U5 Disclosure
- Advisor Expunges Form U5 Termination Disclosure From The CRD
- Young Financial Advisor Seeks FINRA Expungement of U5 Disclosure
Criminal Disclosure Expungement
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