State RIA Enforcement: What Advisors Need To Know
Anticipating Document Review Deficiencies: A Case For Acting On AdvisorLawâs Recommendations
Outside Business Activities: Minefield For Financial Advisors
Bay Area Advisor Restores Perfect, 30-Year BrokerCheck Records With Termination Expungement
Starting Your RIA: Considerations For New Advisors
As we approach the end of the year, financial advisors must consider the state of their professional records. Last year’s regulatory changes have permanently altered the landscape of customer dispute expungement, and the window opportunity for expunging new customer disputes will close in October 2025. At AdvisorLaw, we understand the urgency of these changes and stand ready to help our clients finish the new year with a clean slate.
Why Act Now?
The end of the year is a significant time for financial planning, not just for your clients — but for your career. Expungement of unwarranted or outdated disclosures from your record can significantly enhance your professional reputation and open doors to new opportunities in the coming year. More importantly, acting by the end of the year may provide tax advantages, allowing you to deduct expenses related to the expungement process. Be sure to consult with your tax advisor regarding your specific options.
You Only Have One Shot
The recently approved amendments to the customer dispute expungement process have narrowed the window for removing investor complaints through FINRA's arbitration forum. With only one opportunity for expungement remaining, rely on AdvisorLaw’s proven track record to file your case on time and give yourself the best chance for a favorable outcome. We have successfully expunged over 2,750 disclosures — head and shoulders above any other firm in the field.
Our Commitment To Your Success
The AdvisorLaw team is committed to ensuring that your BrokerCheck and CRD records reflect your professional integrity accurately. We do this by leveraging our expertise in navigating both traditional and alternative expungement processes effectively. Our approach is tailored to protect and enhance your professional standing, allowing you to focus on what you do best — advising your clients.
Take The First Step Today
Take advantage of all the tax deductions available to you by the end of the year. Contact AdvisorLaw today for a complimentary consultation to assess the viability of expungement for your case. Our experts are ready to guide you through the process and get you filed and resolved by the time the expungement window is closed for good!
Take control of your professional future. Act now to ensure that your record reflects your true professionalism — before the opportunity is lost.