Securities attorney Joel Beck announced that he has released the second edition of his e-book, A Stockbroker's Guide to Regulatory Investigations. The e-book provides a wealth of information to brokers who are facing a regulatory investigation, explaining in the detail both the investigation/examination phase as well as the disciplinary/enforcement process. A former regulatory attorney, and now in private practice, Mr. Beck has significant experience in both the prosecution and defense of enforcement cases against stockbrokers and associated persons.
The e-book is available through an online download for free, and can be obtained at www.brokerdefender.com.
"If you are dealing with a regulatory examination, understanding the process can help you make better decisions," said Mr. Beck. Of course, the e-book is for general information only, and is not a substitute for legal advice, he said, adding that "[He] still counsels brokers that the best thing they can do when dealing with a regulatory investigation is to engage a lawyer experienced in securities regulatory matters."