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 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.
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We help brokers and advisers across the country with their federal securities regulatory matters. To discuss your situation, contact Joel Beck at The Beck Law Firm. (678) 344-5342 or send an email to info @ thebeckfirm.com (Don't send any confidential information until we request it, and understand that the firm does not represent you until a written engagement agreement is signed).