We are headquartered in Broomfield, Colorado and work with advisors nationwide.
The majority of our clients are motivated to call us to handle the reporting or removal of customer dispute disclosures, and allegations after separation language for compliance, increased book valuation, and recruiting reasons or to avoid FINRA fines, suspensions and license revocations.
As a former FINRA registered rep and current founding attorney of AdvisorLaw, I specialize in assisting advisors with resolving customer dispute disclosures and completely expunging customer disputes from FINRA, BrokerCheck®, U4, U5, and the CRD system entirely.
Most firms think that FINRA is a worldwide soccer association or a government agency helping hurricane victims. Most have no idea what your GDC or CRD is, or the difference between the two. Our team of specialists only works with advisors and is in contact with FINRA on a daily basis.
We look forward to speaking with you about your situation and how we can help! Our initial consultation conversation is always complementary.