AdvisorLaw

Can you be blamed for an investment recommendation you never even made?

For one veteran New York advisor, market volatility in firm-managed accounts led to three meritless disclosures that haunted his record for years—even though the portfolio decisions were made by the firm, not the advisor.

AdvisorLaw’s Dochtor Kennedy, MBA, J.D. took the case to a FINRA panel, proving the claims “factually impossible” and “false.”

The result: a unanimous triple expungement and a perfectly clean record was restored.

Your professional legacy shouldn’t suffer because of market shifts or institutional decisions outside of your control.

If your record has been scarred by meritless complaints, it’s time to set the record straight. 🛡️⚖️

https://advisorlawllc.com/finra-panel-grants-triple-expungement-for-new-york-financial-advisor/

FINRA Panel Grants Triple Expungement For New York Financial Advisor A New York financial advisor successfully cleared three meritless complaints from his record. A FINRA Panel ruled the allegations “factually impossible” as the advisor did not even select the investments in question.

Is FINRA about to make your Form U5 permanent? 🛑

We’re resharing this because the stakes couldn’t be higher. Regulatory Notice 26-06 isn’t more than modernization—it’s a plan to gut Form U5 expungement.

Proving Malice: Simply showing a statement is false won’t be enough. You’ll have to prove the firm acted with bad faith.

Firm Immunity: New safe harbor regulations could shield firms from the legal consequences of weaponized disclosures.

The 2023 Repeat: This follows the exact playbook used to restrict customer dispute expungements in October 2023.

The window to clear your name under today’s more favorable rules is closing fast. Don’t wait for the standards to shift against you. 🏛️⚖️

https://advisorlawllc.com/looming-threat-to-form-u5-expungement/

Modernizing FINRA Arbitration: The Looming Threat to Form U5 Expungement FINRA’s Regulatory Notice 26-06 could gut Form U5 expungement. Learn how proposed changes to defamation claims impact advisor reputations in 2026. Act now.

For our monthly AdvisorLaw Spotlight, we are featuring Senior Associate Jennifer Cox, J.D., who brings 28 years of elite regulatory experience to our expungement team.

Having served as a primary liaison for FINRA and the SEC and as in-house counsel for a national firm, Jennifer possesses an insider’s understanding of the industry.

Her deep technical knowledge, backed by licenses (like the Series 24, 53, and 54) has allowed her to successfully clear numerous defamatory marks and false accusations from our clients’ records.

When a career’s reputation is at stake, Jennifer’s background makes her a powerhouse advocate for restoring the advisor’s professional standing. 🛡️🏛️