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," "Dumb Mistakes to Avoid," "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 to 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. And when you're ready to speak with a lawyer experienced in representing brokers in FINRA investigations, call The Beck Law Firm, LLC at 678-344-5342. If your career is on the line, get experienced counsel today.
