DEFENDING YOUR PROFESSIONAL INTEGRITY
Stay current on recent changes in the regulatory environment
Greek mythology tells the story of baby Achilles being dipped into the River Styx to be washed with the river’s water. The water was said to offer powers of invulnerability. Unfortunately, his mother Thetis held Achilles by his heel and thus, his heel was not exposed to the mystical water. Achilles quickly became a feared warrior during the Trojan war. Near the war’s end, a poisonous arrow shot by Paris lodged in his vulnerable heel. Thus, Achilles met his fate.
I have not yet been able to track down a supply of water from River Styx. However, many registered reps are operating with an exposed Achilles' Heel of sorts. Namely, disclosures on their U4 and BrokerCheck profile. My team of lawyers and enrolled agents work exclusively with FINRA registered reps to eliminate blemishes in their past which are easily viewable by the public.
AdvisorLaw has experience and expertise navigating the FINRA arbitration process to obtain expungement awards for advisors with customer dispute disclosures. We also work directly with original lien-holders (e.g., the IRS and other general obligation creditors) and FINRA to get liens expunged from public record entirely and BrokerCheck. Additionally, we provide representation for advisors seeking to have termination language from a previous U5 modified to portray our clients in a more favorable light.
Public sentiment is moving rapidly toward heightened transparency, increased availability of advisors’ records, and swiftly increasing fines, penalties, restitution, suspensions, and revocations.
If you have an Achilles' Heel that makes you vulnerable, call or email us today to discuss what can be done to ensure greater victories moving forward. Do not let your disclosures lead to your downfall.
President, Managing Attorney
3400 Industrial Lane, Unit 10A
Broomfield, CO 80020
Main Ph: (303) 952-4025
Fax: (720) 452-0613
This blog is my ongoing effort to inform and educate FINRA licensed professionals about the evolving regulatory ecosystem in which we operate.