Joel Beck

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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 practices focuses on three main areas: 1) broker-dealer and registered investment adviser regulation/compliance, regulatory investigations and enforcement actions, and arbitration cases, 2) business formations and small business legal needs, and 3) basic estate planning.

The Disclaimer

  • The Beck Law Firm, LLC and Joel Beck, the author of this blog, provide this material for informational purposes only. While we believe the content to be accurate, we make no guarantee to that effect. Use of this blog does not create an attorney/client relationship and The Beck Law Firm, LLC does not represent you unless and until we have entered into a written representation agreement. The hiring of an attorney is an important decision and should not be based upon advertisements, including websites and blogs. Please contact us for additional information about our qualifications before making a decision.

Comments Policy

  • I welcome comments on most postings, and like to keep the discussion going. Comments are moderated and will not post until publisher review. Comments that don't relate to the topics and subject matter of the blog, and seek only to provide links for other websites, will not not be published. The Beck Law Firm, LLC and Joel Beck are not responsible for contents of the published comments, and do not necessarily share the same views as the commenter.

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August 30, 2012

Joel Beck Releases 2nd Edition of A Stockbroker's Guide to Regulatory Investigations

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."   

 

 

Posted at 09:37 AM in Broker-Dealer/RIA Compliance Matters, Broker-Dealer/RIA Dealing with a FINRA Investigation |