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We passionately defend your reputation and good name so that you can continue to gain maximum benefit from your livelihood." |
Areas of Expertise
NEW DISPUTESFINRA Customer Dispute Allegations - Defense against pending customer
disputes and terminations that attempt to harm your good name Vertical Divider
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EXPUNGEMENTCustomer Dispute Expungement -
Clean up of your CRD from meritless customer disputes, U5 terminations, criminal, and tax disclosures Vertical Divider
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REGULATORYInquiries & Regulatory Allegations -
Top-notch defense against state or FINRA investigations looking to suspend or bar you |
COMPLIANCETransactional services for OBA,
contract review, drafting buy-sell agreements, and establishing an RIA Vertical Divider
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TRANSITIONSTransition planning to properly plan for and
value your business, as well as negotiate notes and protecting against Protocol Vertical Divider
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ACCESS ON-DEMANDAnnual 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
AdvisorLaw Has Been Seen In:
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"Not only was AdvisorLaw able to achieve the desired
results, but they kept me informed of the progress every step
along the way. I would recommend AdvisorLaw without
hesitation for any of the regulatory services they provide.”
—35 year industry veteran, from Dallas, TX
results, but they kept me informed of the progress every step
along the way. I would recommend AdvisorLaw without
hesitation for any of the regulatory services they provide.”
—35 year industry veteran, from Dallas, TX
Charitable PartnerGlobal Orphan Prevention
An award-winning 501(c)3 nonprofit working to keep mothers and children together through economic development, awareness, and educational opportunity. |
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