Joel Beck

Email Newsletter

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don't relate to the topics and subject matter of the blog, and seek only to provide links for other websites, will not not be published.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.

« The Fiscal Cliff Legislation and Estate Planning = Good News | Main | 2013 Regulatory Priorities »

January 14, 2013

Reminder: Friday is the Webinar: 10 Things to Do (Or Not Do ) To Help Avoid Regulatory Problems in 2013

This Friday, January 18th is the date for the first of our 2013 webinars.  Registration for the January 18, 2013 webinar/teleconference entitled, "10 Things to Do (Or Not Do) To Help Avoid Regulatory Problems in 2013" is now up and running.  Space is limited, so reserve your spot for this webinar and teleconfernce now, and put January 18, 2013 at 2PM Eastern on your calendar.  This free program will help stockbrokers and financial advisors understand  - and hopefully learn how to avoid - some major regulatory problems that they can inadvertently get themselves into.  By avoiding regulatory and compliance problems, brokers are better able to focus on serving their clients, growing their business, and enjoy their work.  

I hope to see you on the call/webinar on January 18th.  To get your spot, register today.  And, then be sure to check our email newsletter and BDLawBlog for future events in 2013.  

Posted at 03:04 PM in Broker-Dealer/RIA Current Affairs |

About

Nationwide Securities Lawyer - Contact Us Today

  • 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).

Free Guide to Regulatory Investigations

Search

Categories

Archives

More...

Subscribe to this blog's feed