I'm attorney Joel Beck, and I help stockbrokers and financial advisers protect their #1 investment. What's that? It could be their reputation, their career, their ability to work in the industry and earn a living. Check out the short video below, and then read more to learn about how to navigate the blog, and how to receive a copy of Joel's e-book, A Stockbroker's Guide to Regulatory Investigations. When you're ready to see if Joel can help you with your situation, call The Beck Law Firm, LLC at (678) 344-5342.
If you are a broker or adviser currently under investigation by FINRA or the SEC, this blog offers you some valuable resources to help you understand the investigation and disciplinary process. You will also find information on the common types of rule violations that are committed by brokers, including things you can do to prevent those violations from happening. Keep reading this post for answers to frequently asked questions, and to get a free download of attorney Joel Beck's book, A Stockbroker's Guide to Regulatory Investigations. If you're ready to consult with an experienced securities regulatory lawyer, call Joel Beck of The Beck Law Firm, LLC today at 678-344-5342.
To find the answers to many of your questions, look to the right of the page, under the heading "Categories." You'll most likely be interested in the categories of "Dealing with a FINRA Investigation," "Common Broker Issues," "Selling Away/Outside Business Activities, "and, if your investigation involves Form U4 issues, the "Form U4 Issues" category. Click on the category, and then scroll down to the bottom of the page, and work your way back up from there (posts appear in chronological order with the most recent first).
Also, be sure to get a FREE download of attorney Joel Beck's e-book, "A Stockbroker's Guide Regulatory Investigations" to help you understand the regulatory investigation and enforcement processes whether you are dealing with FINRA, the SEC or a state securities regulator. Get your FREE e-book today at www.brokerdefender.com.
Remember, this blog is no substitute for legal advice tailored to your situation. While you'll find a wealth of information here about regulatory matters, understand that if your career is on the line, you need legal counsel. The regulators will have legal counsel on their side, so you need to strongly consider putting experienced counsel in your corner today to fight for you. A former Enforcement lawyer for NASD, Joel Beck is experienced in securities regulation cases. Call him today at (678) 344-5342.