Sign up now for FINRA and NMLS licensing disclosures.  

If you have an offense of dishonesty, breach of trust, or money laundering, or numerous other offenses for which FINRA and NMLS disclosure is necessary, working at any FINRA or NMLS licensed company can be extremely challenging. We are knowledgeable about FINRA and NMLS licensing disclosures and are able to help you meet the necessary disclosures by providing advice and helping you compile court records that are necessary.

In order to begin your FINRA and NMLS disclosure requirement, we strongly recommend first having your record examined by an experienced and licensed attorney. To accomplish this, we offer a comprehensive FINRA and NMLS licensing case analysis.

The process entails a document review by an attorney, case history preparation, and then final analysis preparation. In most cases, unless the records are very lengthy, the total process generally takes less than 1 month. What counts as a lengthy record depends on (1) whether the total record is 5 or more record entries or 5 or more pages in length, and (2) the clarity of the record. If the record is lengthy or if there are several holidays during the month, plan on several extra days for completion.

The analysis costs $300 and may be applied as a credit towards the expungement, or record sealing service that is best for your situation. If, however, it turns out you do not require further relief, or you decide not to pursue other forms of legal relief, then this amount is for the attorney’s time to perform the analysis. The credit ranges from $100-$200 depending on the number of violations or cases on your record. This credit will remain available for four months from the date of the analysis.