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.
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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.
Copyright 2013
The original works appearing on this page are the intellectual property of Joel Beck and The Beck Law Firm, LLC. Copyright 2007-2012.
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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don't relate to the topics and subject matter of the blog, and seek only to provide links for other websites, will not not be published.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.
Posts categorized "Broker-Dealer/RIA How to Select a Securities Lawyer"
Lately, I've gotten more than the usual number of calls from brokers thinking that they might need legal help now that regulators have told them that they intend to bring a disciplinary action against the broker. For whatever reason, the brokers had gone it on their own throughout the course of the regulatory investigation (including written responses, depositions, etc.), thinking that everything would be fine. Then, wham!, the regulators drop a "Wells" letter on them, informing the broker that they are going to move forward and seek to sanction the broker. At that point, while counsel can help, sometimes it is too late. So for today's post, I'll address the question of when is the time to consider engaging counsel in a regulatory examination.
In the first post in this series, I opined that, in most cases, brokers under investigation by a regulatory agency (such as FINRA, the SEC or a state securities agency) are well-served by having counsel represent them. As promised, in this post I'll offer readers of BDLawBlog.com some items to consider when choosing a lawyer to represent the broker in the investigation or examination.
I generally get calls each week from folks seeking guidance on when to engage a lawyer to represent them in connection with an investigation or examination by a state securities commissioner, FINRA or the SEC, as well as asking whether they need counsel in these matters. I know that many occasional readers of BDLawBlog have these same questions, so I decided to do a post or two on this topic to give readers some items to think about. In today's post, I'll answer the second question first: do you need an lawyer?
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).
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