Regulatory Defense and U5 Expungement

At Alonso & Wirth, we provide skilled representation for financial professionals and businesses facing regulatory challenges and disputes. From navigating complex FINRA investigations to pursuing U5 expungements, our firm is dedicated to protecting your reputation, career, and financial stability.

Regulatory Defense of FINRA Investigations

When your firm or practice is under scrutiny from FINRA or other regulatory bodies, it is critical to have experienced legal counsel on your side. Alonso & Wirth offers comprehensive defense strategies tailored to the unique circumstances of each case.

Our Expertise Includes:

Responding to FINRA 8210 requests
Addressing allegations of misconduct, fraud, or regulatory violations

Our team understands the high stakes involved in regulatory actions. We work tirelessly to minimize potential sanctions, preserve licenses, and safeguard your professional reputation.

FINRA Expungement: Clearing the Record

The information contained on your CRD (Central Registration Depository System), is a critical information that can significantly impact your career. Incorrect or defamatory information on your CRD or U5 can damage your reputation, limit future employment opportunities, and result in further regulatory scrutiny.

Alonso & Wirth specializes in assisting financial professionals with CRD or U5 expungements. Whether the CRD entry was marked with questionable reasons or contains errors, we can help you pursue remedies through:

Negotiations with former employers
FINRA arbitration proceedings for expungement
Litigation to address defamatory or inaccurate statements

Our attorneys have the knowledge and experience to effectively challenge unfair or damaging U5 disclosures, ensuring your record accurately reflects your professional achievements and integrity.

Why Choose Alonso & Wirth?

Experience You Can Trust
We have a proven track record of success in regulatory defense and CRD and U5 expungement cases.
Personalized Representation
Every case is unique. We develop tailored strategies to achieve the best possible outcome for your specific situation.
Relentless Advocacy
Your career and reputation are our top priorities. We fight aggressively to protect what you’ve worked so hard to build.

Contact Alonso & Wirth Today

Facing a FINRA investigation or dealing with CRD or U5 issues can be overwhelming, but you don’t have to navigate these challenges alone. Alonso & Wirth is here to help. Contact us today for a confidential consultation and let us guide you through the process with skill and dedication.

Your career deserves the best defense—partner with Alonso & Wirth to protect your future.