Experienced Expungement Lawyers

Protect your future

If you have a negative disclosure that’s easily found online, it’s worth pursuing expungement to see if you can remove it and protect your reputation. Expungement includes the removal of disclosures from BrokerCheck and the Central Registration Depository (CRD), among others.

HLBS Law works with financial professionals to successfully expunge these disclosures and protect your future in the financial industry. Whether you need FINRA expungement or another type of expungement, our team can assist you through this process with the goal of a successful outcome.

Types of Expungement

BrokerCheck

Central Registration Depository (CRD)

Investment Advisor Public Disclosure (IAPD)

Investment Advisor Registration Depository (IARD)

Criminal Records

FINRA Expungement

FINRA arbitration is the traditional place to obtain expungement of eligible disclosures from BrokerCheck. The most common disclosures are customer disputes and terminations. If you are seeking FINRA expungement, you must have a court order directing the expungement or confirming an arbitration award for expungement.

Our expungement lawyers have extensive experience with FINRA arbitration and expungement and can help you navigate this process. However, it’s important to note that even if you’ve had your record expunged with FINRA, the disclosure may still show up on BrokerCheck or IAPD. Working with an experienced attorney can help you secure a complete expungement for your record.

Alternative Forum Expungement

It is possible to negotiate an expungement without the need for a final hearing, which can be faster and more cost-effective than arbitration.

Our team will consider numerous factors to determine if your disclosure qualifies, such as the age of the disclosure, the final resolution of the disclosure, the type of product, supporting documentation, and others.

We work with clients to pursue expungements and clear your record, which can make it as though the complaint never happened. We can also work with professionals who have criminal disclosures from the state on BrokerCheck or IAPD.

Contact us to schedule a consultation

If you have been named in a dispute in FINRA arbitration or plan to pursue a claim

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Frequently Asked Questions

What is the process for expungement?

The process for expungement is relatively the same as arbitration. However, there’s no settlement or mediation–you must go to a final hearing. In addition, you must send notice to the customer who filed the customer complaint. HLBS Law will support you throughout every step of the expungement process.

What disclosures can be expunged?

Customer complaints, disputes and employment termination can be expunged, but some matters are more difficult to expunge, such as investigations or criminal or financial disclosures. However, this doesn’t mean your disclosures will be publicly available forever. For example, some disclosures can be removed from BrokerCheck even though they may be available on CRD.

How long do I have to wait to pursue expungement?

It depends on where and what you are looking to expunge. Generally, you can pursue expungement immediately after a claim has been filed through arbitration. Our expungement attorneys can review your case, determine if you have grounds for expungement, and support you throughout the process.

When should I talk to an attorney?

Contact an attorney immediately after you have received notice of a dispute filed against you. An experienced lawyer will ensure you take the proper steps to seek an expungement and provide evidence against baseless claims.