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Form U4 Basics: Part Two – The Little Known Lifetime Bar

Posted by Joel Beck | Mar 04, 2017 | 0 Comments

Take a look at any month's disciplinary notices from FINRA and count the number of disciplinary actions against brokers involving violations related to their Form U4. Odds are good that you'll find at least a handful a month. What's troubling is that these violations are totally preventable. All ...

Form U4 Basics: Part Three – Criminal History Disclosures

Posted by Joel Beck | Mar 04, 2017 | 0 Comments

As we continue to review basic information regarding the Form U4, in this post, we'll address some disclosable events regarding criminal history disclosure. Generally speaking, the Form U4 is a very straightforward document, when taken together with the official instructions for completion of the...

U4 Basics: Part One – An Overview of the Form U4

Posted by Joel Beck | Mar 03, 2017 | 0 Comments

Each month, you'll likely find financial advisors who have been disciplined by FINRA for violations of rules relating to the Form U4. In this short blog series on U4 basics, we'll seek to help you understand what a U4 is, what it means to your career as a financial advisor, some common pitfalls t...

Understanding a FINRA Exam, Part 5 – The Wells Letter

Posted by Joel Beck | Apr 08, 2016 | 0 Comments

In this fifth video in our blog series on understanding a FINRA exam, attorney Joel Beck discusses the “Wells” letter (or “Wells” call) as part of the FINRA examination or investigation process. The “Wells” notice is essentially the regulator providing the registered or associated person with off...

Understanding a FINRA Exam, Part 4 – AWC

Posted by Joel Beck | Apr 01, 2016 | 0 Comments

In this fourth installment of our video blog series on understanding a FINRA exam, attorney Joel Beck discusses the pre-complaint settlement tool utilized by FINRA, the Letter of Acceptance, Waiver and Consent (AWC) and shares some of the key features of this settlement, together with a word of c...

Understanding a FINRA Exam, Part 3- Dispositions

Posted by Joel Beck | Mar 31, 2016 | 0 Comments

In this third installment of our video blog series, attorney Joel Beck discusses the three common ways that a FINRA exam gets resolved, either through the exam being filed without action, resolved through an informal action, or resolved through a formal disciplinary action against the registered ...

Understanding a FINRA Exam, Part 1

Posted by Joel Beck | Dec 16, 2015 | 0 Comments

Some of the more common questions we receive from prospective clients focus on FINRA exams and include questions like: How are they started? What happens in them? What does it mean? How long does it take? What can happen? How do I deal w...

The Basics of a FINRA Exam – Part 2

Posted by Joel Beck | May 16, 2015 | 0 Comments

In this series of posts on the basics of FINRA examinations, we're providing an overview of the examination and formal action disciplinary processes. Today's post discusses the two main types of FINRA examinations. FINRA examinations, or investigations, are generally characterized as either...

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