Relentlessly defending
your good name

Because your livelihood
is worth it

We only represent
financial professionals

We only represent financial advisors

AdvisorLaw provides nationwide representation to all financial advisors and wealth managers, never for the investor or broker-dealer.

Safeguarding your business is our business.

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

​AdvisorLaw Has Been Seen In:

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, Dallas, TX

Charitable Partner

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Global 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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