FINRA Expungement
We understand reputation is everything. We also know that many customer complaints that appear on BrokerCheck are meritless. We have a 97% SUCCESS RATE removing these meritless customer complaints from BrokerCheck.
We provide financial industry representation covering a wide range of issues stemming from the financial services industry. With top tier law firm experience defending some of the largest broker-dealers in the world, we recognize financial industry members often require independent counsel when their personal interests are at odds with the interests of their employer, business partner, regulatory body, or other third party.
PRM P.C. regularly provides high level financial industry members with representation in cases. Here’s some of what we do:
We understand reputation is everything. We also know that many customer complaints that appear on BrokerCheck are meritless. We have a 97% SUCCESS RATE removing these meritless customer complaints from BrokerCheck.
We have more than a decade of experience representing financial professionals face regulatory issues involving FINRA, the SEC, and other branches of the federal government.
Financial advisors can face issues stemming from employment and customer complaint information disclosed on their CRD records through Forms U4 and U5. We understand the CRD reporting requirements. And we advocate for accurate CRD reporting for our clients.
Financial advisors face challenges moving their books of business from one financial firm to another. We understand these challenges, and advise our clients on the legalities and best practices required in making such a move.
Partnership of multiple financial advisors who partner and share commissions and fees generated from a joint book of business can, unfortunately, sour. We have litigated numerous cases involving this dynamic. We understand the issues.
Financial advisors are often left believing they have no leverage against their employing financial firm. We know this often isn’t true. We represent financial advisors in addressing all forms of employment issues that arise out of financial services employment.