Last month I had a good conversation with my friend Marc Dobin, who is also a securities lawyer. Marc practices down in South Florida, and also publishes a blog on his website. Anyway, Marc told me about some recent changes to Florida laws regarding registration of brokers and the state's ability to deny registration based on past offenses, even when the broker (or potential broker) would not be otherwise disqualified under FINRA or SEC rules. I told Marc he ought to do a blog post about it. Well, he did, and today I finally got around to checking that out. Find Marc's post about that here and give it a quick read for more information and details.
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About The Beck Law Firm, LLC
- Joel Beck, a former NASD Department of Enforcement lawyer, formed The Beck Law Firm, LLC in 2007. Joel's practice primarily focuses on representing broker-dealers, stockbrokers and investment advisers in disciplinary investigations and actions, customer complaints, arbitration claims and civil litigation, as well as representing investors in securities arbitration claims. Joel has been designated a Certified Regulatory and Compliance Professional (CRCP) by the NASD Institute at the Wharton School of Business, University of Pennsylvania. Click on the link above to visit our website and learn more.
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Copyright 2011
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