Legal gavel and block representing law and justice, symbolizing legal services and attorney expertise.

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.

Legal gavel and block representing law and justice, symbolizing legal services and attorney expertise.

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.


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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⭐⭐⭐⭐⭐

    Professional legal consultation and personalized estate planning services provided by AdvisorLaw LLC. Expert advice for clients seeking reliable legal solutions.

    BrokerCheck & IAPD Expungement Services

    BrokerCheck & IAPD
    Expungement Services

    BrokerCheck & IAPD
    Expungement Services


    Through various dispute resolution forums, AdvisorLaw can effectively clean up your BrokerCheck or IAPD profile through reputable dispute resolution forums like AAA and JAMS, accurately representing your personal and professional reputation to the public and industry observers. We specialize in defending individuals against unfounded, meritless, and incorrect claims.

    Our track record is filled with success stories navigating a variety of challenges, including customer disputes, wrongful terminations, accusations of unsuitability, unauthorized trading, criminal records, and beyond. Let us help protect and restore what you have worked so hard to build.


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    Disclosures
    Expunged

    Disclosures
    Expunged

    Engage With Our Experts
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    Texas Advisor Clears Records With Two Successful Customer Dispute Expungements

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    Virginia Advisor Clears Records With Customer Dispute Expungements

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    Texas Advisor Clears Records With Successful Expungements In FINRA Arbitration

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    North Carolina Advisor Restores Perfect Public Records Through FINRA Expungement

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    Michigan Advisor Clears Records Of False Forgery Allegation

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    New Jersey Advisor Clears Record of Two False Customer Disputes

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    New York Advisor Wins Expungement Of 2023 Customer Complaint

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    Dallas Advisor’s Customer Dispute Expunged By FINRA Panel

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    FINRA Panel Awards Expungement of Charleston Advisor’s Sole Disclosure

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    New York Advisor Wins Expungement Of 2020 Customer Dispute

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    Three-Arbitrator Panel Expunges 2019 Customer Dispute From LA Advisor’s Records

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    Three-Arbitrator Panel Expunges Covid-Related Customer Dispute For San Antonio Advisor

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    Quadruple Expungement Victory For 40-Plus-Year Industry Veteran In Colorado

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    FINRA Expungement Awarded: Advisor Clears Name After Goldman Sachs Termination

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    Southern-California Advisor Wins Expungement Of Internal Review Disclosure

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    Expungement Victory For Chicago Investment Adviser

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    Four Customer Disputes Expunged For LA-Based Investment Adviser

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    Florida Advisor Clears Records With Expungement Of Five Disputes

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    Advisor Clears Records In Time For 40th Financial Services Career Anniversary

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    Michigan Advisor Restores Flawless Records With Customer Dispute Expungement

    Image

    Florida Advisor Clears Records With Expungement Of Five Disputes

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    Missouri Advisor Clears Records Of Four Settled Customer Disputes

    Engage With
    Our Experts
    Engage With Our Experts
    Balance scale emphasizing legal and financial justice, with a person pushing against it, symbolizing legal struggles or balancing financial disputes. Suitable for law firms focused on legal consultancy and financial settlement issues.

    Texas Advisor Clears Records With Two Successful Customer Dispute Expungements

    Gold Lady Justice statue symbolizing law and fairness, with a blurred lawyer researching legal documents in background, representing legal expertise and justice advocacy.

    Virginia Advisor Clears Records With Customer Dispute Expungements

    Balanced scales of justice representing legal services and law firm expertise.

    Texas Advisor Clears Records With Successful Expungements In FINRA Arbitration

    Professional male attorney in formal suit outdoors, smiling confidently, representing expert legal services in business law and estate planning for clients seeking trustworthy legal advice.

    North Carolina Advisor Restores Perfect Public Records Through FINRA Expungement

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    Michigan Advisor Clears Records Of False Forgery Allegation

    Gavel and legal scales on a wooden table representing legal services and justice law firm consultation.

    New Jersey Advisor Clears Record of Two False Customer Disputes

    Balanced scales with a "TRUTH" tag symbolizing justice and legal integrity at AdvisorLaw legal services.

    New York Advisor Wins Expungement Of 2023 Customer Complaint

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    Dallas Advisor’s Customer Dispute Expunged By FINRA Panel

    Professional handshake between legal advisor and client in office setting, emphasizing legal services, legal consultation, attorney-client relationship, and law firm expertise.

    FINRA Panel Awards Expungement of Charleston Advisor’s Sole Disclosure

    Gavel and legal scales on a lawyer's desk with a professional woman in the background, representing legal advice and law practice, ideal for legal services, attorney consulting, and law firm SEO.

    New York Advisor Wins Expungement Of 2020 Customer Dispute

    Image

    FINRA Expungement Awarded: Advisor Clears Name After Goldman Sachs Termination

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    Southern-California Advisor Wins Expungement Of Internal Review Disclosure

    Handshake between two business professionals in suits at a corporate office.

    Expungement Victory For Chicago Investment Adviser

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    Four Customer Disputes Expunged For LA-Based Investment Adviser

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    Florida Advisor Clears Records With Expungement Of Five Disputes

    Experienced legal advisor smiling in a professional office setting, representing expert legal consultancy services for estate planning, business law, and legal advisory from AdvisorLaw.

    Advisor Clears Records In Time For 40th Financial Services Career Anniversary

    Gavel on a legal desk with a scale of justice in the background, symbolizing legal services and law practice, related to attorney, law firm, legal advice, and litigation.

    Michigan Advisor Restores Flawless Records With Customer Dispute Expungement

    Image

    Florida Advisor Clears Records With Expungement Of Five Disputes

    Stylish wooden dominoes set on a dark table with a person’s hand preparing to topple the dominoes, symbolizing strategic legal planning and advisory services offered by AdvisorLaw LLC for business and legal growth.

    Missouri Advisor Clears Records Of Four Settled Customer Disputes



    Meet Your Experts

    Meet Your Experts



    Professional male attorney wearing a dark suit and glasses, standing against a dark background.

    Josh Barber

    CIO & Co-Founder

    CIO & Co-Founder

    Experienced attorney in business law and estate planning representing clients at AdvisorLaw LLC.

    Tad Burton, J.D.

    Managing Director
    of Client Relations

    Experienced legal professional in business law and estate planning at AdvisorLaw LLC, providing expert legal advisory services for clients seeking tailored legal solutions.

    Austin Davis, J.D.

    Associate

    Professional lawyer in a dark suit smiling for a corporate headshot, representing legal expertise and client-focused law services at AdvisorLaw.

    Harris Freedman, J.D.

    Senior Associate

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    Dalton Hodges

    Lead Administrative
    Law Assistant

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    Josephine Jiron

    Account Development
    Representative

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    Doc Kennedy, MBA, J.D.

    President & Co-Founder

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    Jason Kirkland

    Executive Director

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    Peter Lindholm, J.D.

    Associate

    Image

    Meredith McNulty

    Account Development
    Manager

    Experienced attorney in professional legal services focused on law firm consultation and legal advice for businesses and individuals.

    Alex PadLa, J.D.

    Associate

    Image

    Sheyla Serrano

    Client Relations Manager

    Image

    Janay Simmons

    Administrative
    Law Assistant

    Image

    Carla Smith

    Discovery & Investor Services Manager

    Discovery & Investor
    Services Manager

    Image

    Michael Wunderlich

    Discovery & Investor
    Services Manager

    Discovery & Investor Services Manager

    Highly professional attorneys at AdvisorLaw LLC providing expert legal advice on business, corporate, and estate planning services tailored to meet clients' needs.

    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.

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    Advisors
    Defended

    Advisors
    Defended

    Engage With Our Experts
    Engage With
    Our Experts
    Engage With Our Experts
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    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.


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    Reputations
    Restored

    Reputations
    Restored

    Engage With Our Experts
    Silhouette image of diverse legal professionals behind a judge's gavel, symbolizing law, legal services, and advocacy by AdvisorLaw.

    California Adviser Restores Clean Record With U5 Termination Disclosure Expungement

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    Misleading Termination Expunged From Pennsylvania Advisor’s Record

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    FINRA Grants Expungement Of Advisor’s Misleading Termination

    Deep business dispute resolution through expert legal counseling and negotiation services.

    30-Year Industry Veteran Expunges 2024 Termination Disclosure

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    Michigan Advisor Clears Records Of False Forgery Allegation

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    Illinois Advisor Clears Record Of Misleading Termination Allegation

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    Currently-Unregistered Advisor Clears Records With Termination Expungement

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    New York Advisor’s Records Expunged Of Sole Disclosure From 2023

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    Expungement Victory For California Advisor With 2021 Termination

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    A Termination Disclosure Expungement Win For California Investment Adviser Representative

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    Bay Area Advisor Restores Perfect, 30-Year BrokerCheck Records With Termination Expungement

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    Arkansas Advisor Expunges Termination Disclosure Tied To 5 Customer Disputes

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    Seattle Advisor Clears 2023 Termination Disclosure From CRD/BrokerCheck

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    Unregistered CA Advisor Wins Expungement Of Damaging Termination Disclosure

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    Justice Through Expungement: Restoring Arizona Adviser’s Perfect Record

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    Wisconsin Advisor Wins Expungement Of Termination Disclosure Despite LPL Opposition

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    DC Advisor Wins Full Expungement Of 2017 Termination Disclosure In FINRA Arbitration

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    Denver Advisor’s Perfect Record Reinstated With Termination Disclosure Expungement

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    Washington Advisor’s False, Damaging Termination Disclosure Fully Expunged

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    FINRA Expungement Awarded: Advisor Clears Name After Goldman Sachs Termination

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    2017 Termination Disclosure Wiped From Texas Advisor & CCO’s Records

    Engage With Our Experts
    Engage With
    Our Experts
    Silhouette image of diverse legal professionals behind a judge's gavel, symbolizing law, legal services, and advocacy by AdvisorLaw.

    California Adviser Restores Clean Record With U5 Termination Disclosure Expungement

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    Misleading Termination Expunged From Pennsylvania Advisor’s Record

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    FINRA Grants Expungement Of Advisor’s Misleading Termination

    Deep business dispute resolution through expert legal counseling and negotiation services.

    30-Year Industry Veteran Expunges 2024 Termination Disclosure

    Legal contract signing by a professional lawyer or attorney, emphasizing legal services, agreement documentation, and law firm expertise.

    Michigan Advisor Clears Records Of False Forgery Allegation

    Moving business professional carrying a cardboard box with office supplies, laptop, and plant, indicating employment change or job transition, in a corporate environment.

    Illinois Advisor Clears Record Of Misleading Termination Allegation

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    Currently-Unregistered Advisor Clears Records With Termination Expungement

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    New York Advisor’s Records Expunged Of Sole Disclosure From 2023

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    Justice Through Expungement: Restoring Arizona Adviser’s Perfect Record

    Image

    Wisconsin Advisor Wins Expungement Of Termination Disclosure Despite LPL Opposition

    Handshake between two business professionals with legal gavel on table, symbolizing legal services, corporate law, and legal consultation from AdvisorLaw.

    DC Advisor Wins Full Expungement Of 2017 Termination Disclosure In FINRA Arbitration

    Image

    Denver Advisor’s Perfect Record Reinstated With Termination Disclosure Expungement

    Blindfolded Lady Justice sculpture symbolizing fairness and legal integrity in law firm settings.

    Washington Advisor’s False, Damaging Termination Disclosure Fully Expunged

    Image

    FINRA Expungement Awarded: Advisor Clears Name After Goldman Sachs Termination

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    2017 Termination Disclosure Wiped From Texas Advisor & CCO’s Records

    Frequently Asked Questions



    Frequently Asked Questions



    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.

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    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.

    Engage With Our Experts
    Engage With
    Our Experts
    Engage With Our Experts

    Request a Private Consultation

    Request a Private Consultation

    DEFENSE | Contact Form (#60)

    Request a Private Consultation

    Schedule a complimentary consultation!

    DEFENSE | Contact Form (#60)