Relentlessly defending
your good name

Because your livelihood
is worth it

We only represent
financial professionals

About AdvisorLaw

AdvisorLaw provides nationwide representation to hundreds of financial advisors and wealth managers.  We only advocate for the interests of the advisor - never for the investor or broker-dealer.

​Safeguarding your business is our business. We passionately defend your reputation and good name so that you can continue to gain maximum benefit from your livelihood.

AdvisorLaw is not a law firm and does not provide legal services. AdvisorLaw retains an independent law firm which focuses on this area of law to assist you with any aspect of our representation which requires a lawyer.  AdvisorLaw will also work with your lawyer if he or she is competent in this area of law.

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AdvisorLaw Success

Completed Cases *

Highlighted Wins

2 Terminations Expunged	10 of 10 Customer Disputes Expunged
4 of 4 Customer Disputes Expunged	5 of 5 Customer Disputes Expunged
6 of 6 Customer Disputes Expunged	2 Customer Disputes + 2 Terminations Expunged
7 of 7 Customer Disputes Expunged	9 of 9 Customer Disputes Expunged

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​AdvisorLaw Has Been Featured In The Following Articles:

​Barron's

 Wealth​ Management

Investment News

The Wall Street Journal

AdvisorHub

 ​BrokeAndBroker

 ​FA IQ

Areas of Expertise

NEW DISPUTES

FINRA Customer Dispute Allegations -     Defense against pending customer
​disputes and terminations that 
attempt to harm your good name

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EXPUNGEMENT

Customer Dispute Expungement - 
​Clean up of your CRD from meritless
customer disputes, U5 terminations,
criminal, and​ tax disclosures

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REGULATORY

Inquiries & Regulatory Allegations - 
​Top-notch defense against state or
FINRA investigations looking
to suspend or bar you
​

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COMPLIANCE

Transactional services for OBA,
contract review, drafting buy-sell 
agreements, and establishing
an RIA

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TRANSITIONS

Transition planning to ​properly plan for and
value your business, as well as negotiate
notes and protecting against
​Protocol 

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ACCESS ON-DEMAND

Annual priority access to attorney consults, services, and pricing, as well as emergency defense against new allegations
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* Past performance is not necessarily indicative of future results