AdvisorLaw is now offering a “Rideshare Program” for financial advisors seeking to expunge customer dispute or U5 termination disclosures for the entire month of December. With over 40 million visitors to BrokerCheck® every year, you and your teammates can’t afford to lose a client over a meritless disclosure on your record. But we can help to restore your good name. If you …
A Stacked Deck: Inside the 2019 FINRA New Customer Dispute Expungement Process
The House always wins. FINRA has filed rule changes to strip financial advisors of a critical right. News that expungement of qualified customer disputes was under fire from the regulators first became known on December 6, 2017; when FINRA published Regulatory Notice 17-42. Since then, the industry has been anxiously waiting for the FINRA Board of Governors to tell the industry precisely …
Which Firm Handles the Most FINRA Expungement Cases Filed by Financial Advisors?
We don’t expect you to keep your finger on the pulse of the advisor-defense industry. So let us quickly bring you up to speed on the most crucial element that advisors seek when it comes to FINRA expungement of customer dispute and U5 termination disclosures–RESULTS. AdvisorLaw just surpassed its 1,000th disclosure expunged from FINRA’s BrokerCheck and the CRD. Every single disclosure was …
Using Your BDA Dollars to Help Solidify Your Brand
Many financial professionals have pre-tax dollars provided by their broker-dealer to help them market and advertise their business. Unfortunately, with the ubiquity of FINRA’s BrokerCheck and Google, any monies spent on advertising or building referrals can work against an advisor that has negative Customer Dispute or Employment Separation After Allegation disclosures on their record. This year, resolve to use those pre-tax dollars on building …
FINRA’s Focus on Advisors With Customer Disputes
We’ve known for some time that FINRA ranks their brokers based upon negative disclosures on their Form U4 and CRD. However, that information has never been released to the public en masse due to instances where many non-adjudicated claims have never actually proven a sales-practice violation by the advisor. A firm that represents customers in drumming up these investor complaints, …
AdvisorLaw Reaches 50 FINRA Customer Dispute Expungement Awards in 2017
AdvisorLaw has just reached an important and impressive milestone in the financial advisor industry. We have just reached our 50th winning award for customer dispute expungement in 2017 through FINRA’s Rule 2080 arbitration – and it’s only September! Why is this a big deal? Well, there are two very important reasons that will give you a sense of just how big of an …
How to Save Your Reputation After a Meritless Customer Complaint
Original Article: wealthmanagement.com/marketing/how-save-your-reputation-after-meritless-customer-complaint Many wealth managers have spent years, if not decades, of their lives crafting a distinguished image of their practice. Words like “planning,” “trust,” “experience,” “service” and “satisfaction” consume the landscape of a financial advisor’s marketing message. Over their tenure, an advisor’s “brand” can develop significant equity. This equity, embodied through their personal and business reputation, pays dividends …