Broker/Dealers,
Investment Advisers & Representatives

U4, U5, Form ADV, Rule 3070, 10b-5, 15c3-1, Form BD, selling away, the SEC, FINRA. The securities industry seems to speak in code and their own language. With over a decade of work experience in securities regulatory matters, Joel Beck understands and speaks the language. The Beck Law Firm provides legal counsel to brokerage firms, investment advisers, and registered representatives, including matters such as:

  • Regulatory examinations and investigations (including FINRA, SEC, and state securities commissions)
  • Disciplinary proceedings (FINRA, SEC, Georgia Securities Commissioner)
  • Customer complaints
  • Arbitration matters (including cases before FINRA Dispute Resolution)
  • Internal investigations
  • Purchase and sale of broker-dealers and registered investment advisers
  • Industry employment-related matters – U-4 and U-5 issues, 3070 disclosures, MC-400 membership continuance applications and litigation related to employment agreements