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3 Tips For Financial Advisors in a Volatile Market

Posted by Joel Beck | May 25, 2022 | 0 Comments

The market is ever-changing, and many financial advisors have experienced this change time after time. However, newer financial advisors may not have experience working through a bearish market. Some economists might be able to predict the market. I, however, cannot. But given my experience worki...

FINRA Continues to Investigate COVID19 Aid Matters

Posted by Joel Beck | Mar 15, 2022 | 0 Comments

At The Beck Law Firm, we often represent financial advisors before FINRA in connection with regulatory investigations and enforcement actions. We are aware that FINRA is continuing to investigate financial advisors across the country in connection to their activities involving COVID 19 relief...

Estate Planning Basics for Financial Professionals

Posted by Joel Beck | Feb 01, 2022 | 0 Comments

As a financial advisor, you work with your clients to ensure their assets are managed well to support them in the long run. This often includes estate planning considerations. After all, many clients don't want to wisely manage their wealth to only benefit themselves, but to also benefit their ...

Business Owners—Get ready to File Your Annual Registration

Posted by Joel Beck | Dec 07, 2021 | 0 Comments

If you own a business, be it a corporation or LLC, you are required to file an annual registration with the state of Georgia, as well as a $50 fee. While the deadline for this year's registration isn't until April 1st, 2022, you can file as early as January 1st.  We recommend getting this impor...

End of Year Business Continuity Checkup

Posted by Joel Beck | Nov 23, 2021 | 0 Comments

Last week, we shared a cautionary tale about the dangers of poor business continuity planning. Today, we're giving you a list of planning essentials for your business. Ask yourself each of the following questions and determine if your planning needs some work. Can my business continue to run w...

A Cautionary Tale of Business Continuity Planning

Posted by Joel Beck | Nov 09, 2021 | 0 Comments

In our experience, one of the most overlooked estate planning needs is business continuity planning. Many business owners don't realize that they need to plan for what will happen to their business should they die, become incapacitated, retire, or simply be out of the office for an extended perio...

Vote for Peach State Wills and Trusts!

Posted by Joel Beck | Oct 12, 2021 | 0 Comments

It's that time of year again! Voting has opened for Gwinnett Magazine's Best of Gwinnett 2021, and Peach State Wills and Trusts, a Division of The Beck Law Firm, LLC, needs your help. Thanks to you, we were voted a Best of Gwinnett estate planning law firm in 2019 and 2020. With you...

How Do I Start a Non-Profit in Georgia?

Posted by Joel Beck | Sep 28, 2021 | 0 Comments

Clients often contact us for help with forming a non-profit, typically to support a specific cause that is dear to them. Because of the charitable nature of the organization, the process of establishing a non-profit is a bit different than establishing a typical corporation or LLC. There are tw...

What to Expect From a FINRA OTR Interview

Posted by Joel Beck | Sep 14, 2021 | 0 Comments

As a financial advisor, you've likely heard mention of an OTR or ‘on the record' interview with FINRA. Perhaps you've spoken with a coworker who has experienced an OTR, or you are facing one yourself. Whether you are currently under investigation or simply curious about the process, you will prot...

Points to Consider When Buying a Franchise

Posted by Joel Beck | Aug 31, 2021 | 0 Comments

https://www.youtube.com/watch?v=yOJQ5M_fLGw If you're looking to own your own business but would like the security of a built-in support network, franchising may be an option for you. As a franchisee, you have the autonomy of being a business owner while also benefitting from the resources and...

Do I Need a Lawyer for a CFP® Board Investigation?

Posted by Joel Beck | Aug 03, 2021 | 0 Comments

A common type of case we handle at The Beck Law Firm is a financial advisor facing an investigation from the CFP® Board. The Certified Financial Planner Board of Standards sets and enforces the ethics and standards for financial planners certified by the organization. When these financial advisor...

Can I Remove a Bankruptcy or Compromise from My Form U4?

Posted by Joel Beck | Jul 20, 2021 | 6 Comments

As we've discussed previously, we often hear from financial advisors looking to clean up their Form U4. Often these advisors are facing a criminal disclosure or have a U4 that reports an old criminal case from many years ago, perhaps from when they were very young.  But increasingly, we receive...

Do I Need a Trade Name?

Posted by Joel Beck | Jul 07, 2021 | 0 Comments

If you are a business owner in Georgia, you may have heard about trade names and wondered if you need one, and why you would need one. According to Georgia law, every person, firm, or partnership that conducts business under a trade name, partnership name, or other name which does not disclose t...

What You Need to Know About FINRA Rule 3270

Posted by Joel Beck | Jun 15, 2021 | 0 Comments

In a recent blog, we discussed 3 Things to Consider When Going into Business with a Partner. This week, we want to remind FINRA-registered financial advisors who are considering starting a side business or becoming involved in a corporation or LLC that they must take steps to remain in complian...

3 Things to Plan for When Going into Business with a Partner

Posted by Joel Beck | May 17, 2021 | 0 Comments

Are you considering going into business with a partner? Maybe you're coworkers striking out on your own, or best friends finally taking the leap and starting the business you've always talked about. Starting a business is exciting, even more so when you're working with a friend, but don't let the...

5 Things to Know about the Rule 8210 Letter from FINRA

Posted by Joel Beck | Apr 20, 2021 | 0 Comments

If you've received a letter from FINRA requesting information, don't take it likely. In this blog, we'll discuss five common questions about the Rule 8210 letter, and what it means for you. What is Rule 8210? https://www.youtube.com/watch?v=rIvEf9IktN8&t=144s In a nutshell, Rule 8210 requires ...

Are you a financial advisor with a criminal disclosure?

Posted by Joel Beck | Apr 05, 2021 | 1 Comment

At The Beck Law Firm, LLC, we often receive calls from financial advisors navigating the ramifications of an arrest or criminal case on their Form U4. Whether the charge is old, new, or already disclosed, they want to know what they can do to minimize the impact of the disclosure on their caree...

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