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AdvisorLaw’s new “Rideshare Program” helps financial advisors expunge customer disputes and U5 termination disclosures

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 …

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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 …

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What if Compliance Accuses You of a Firm Policy Violation?

On Wednesday, while on vacation, an advisor got a call from his broker-dealer’s compliance department. It was from a young woman who was fairly new to the compliance team. She accused him of altering client-signed documents and cutting and pasting a client signature. In essence, the financial advisor was being accused of fraud.

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7 Transition Tips for Leaving With a Clean U5

​We’ve all been there: A new and better opportunity presents itself, we’re looking to move up in our careers, or we’re just sick of working for Susan, a hapless manager who is a terrible person on all counts. Regardless of why we pursue newer and better options, it’s essential to act strategically, know your rights, and have a career transition plan in place.

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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 …