The Thomas M. Campbell Law Office has many years experience advising and consulting with clients about federal and state licensing and registration issues and the ongoing obligations of industry participants to disclose events that can affect registration. Our services cover a broad range of issues related to FINRA forms U4, U5, U6, RE3, MC 400, SEC Form ADV, various state Form ADV regulations, and disclosure obligations imposed upon CFP® designees by the rules of the CFP Board.

The firm also advises about the constantly developing policies and rules governing expungement of material from the publicly available BrokerCheck disclosure system, the process of filing arbitration proceedings against former employers to remove defamatory, misleading and otherwise inappropriate or improper statements in Form U5 filings and the pros and cons of commencing legal proceedings to expunge arbitrations, lawsuits and customer complaint disclosures from the BrokerCheck system.

To learn more, call or email to schedule an appointment for a free consultation. (212) 344-5666.