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Broker-Dealer/RIA Counsel

The Beck Law Firm, LLC represents broker-dealers and registered investment advisers in regulatory and compliance matters. Drawing on attorney Joel Beck's ten years of experience as a securities regulator, and an additional sixteen years+ in private practice, our BD and RIA clients are in good hands. 

Examples of typical services in this area include:

Broker-Dealers

  • Responding to regulatory requests such as FINRA and SEC inquiries as well as State of Georgia inquiries
  • Defense of proposed enforcement actions by regulators, including responding to “Wells” letters and negotiations of AWCs and consent orders
  • Defense of formal complaints filed by FINRA against a broker-dealer in hearings before the Office of Hearing Officers
  • Counsel regarding Form U4 and Form U5 disclosures for registered persons

Registered Investment Advisers

  • Assistance in formation and registration of Georgia-based RIAs with SEC or State of Georgia
  • Analysis of registration requirements under Investment Advisers Act (federal) and Georgia Securities Act (state)
  • Representation of RIA before regulators in connection with routine and special examinations by the SEC or state of Georgia
  • Regulatory defense before SEC or Georgia
  • Counsel regarding Form U4 and Form U5 disclosures for registered persons

To learn if The Beck Law Firm, LLC might be a good fit for your BD or RIA in regulatory and compliance matters, give us a call to discuss your situation. 

Contact us Today

To discuss your situation and see how we might be of assistance, contact us today.

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