Representative Matters

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Client: Broker/Dealer
Obtained expungement of adverse, factually unsupported disclosures on financial advisor's FINRA BrokerCheck report in a declaratory judgment action in Minnesota state court.

Represented broker dealer and financial advisor in dispute between a customer's designated beneficiaries and ex-spouse in state court litigation to determine the customer's testamentary intent; obtained expungement for the financial advisor for the unsupported factual allegations on the advisor's FINRA BrokerCheck report through a declaratory action in state court.

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