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Financial Advisor Compliance

Experienced. Knowledgeable. Respected.

When your career is on the line, it's time to trust The Beck Law Firm, LLC.

Internal investigations. Terminations. Regulatory examinations and enforcement actions. Form U4 disclosures. These all can have a significant impact on your financial services practice, and in some cases can cost you your career. When your career is on the line, it's time to trust The Beck Law Firm, LLC. Our financial markets regulation practice is our primary business focus. Attorney Joel Beck knows the broker-dealer and investment adviser industries, and with more than 20 years experience in regulation matters (both as a regulator with NASD and in private practice), he knows how to speak the language with industry participants and with the regulators.

A cornerstone of our financial markets practice is the defense of regulatory examinations and enforcement proceedings brought by FINRA, the SEC and the Georgia Securities Commissioner's office. The firm also represents clients in matters involving insurance licensing and enforcement actions before the Georgia Department of Insurance. We regularly advise individuals and companies regarding compliance in financial markets and insurance matters, and also serve as an expert witness/consulting lawyer for other lawyers working on cases involving broker-dealers, investment advisers or insurance issues.

Examples of representative work for clients in these areas are:

Broker-Dealer and Registered Representatives

  • Defense of FINRA and SEC examinations and enforcement actions for clients nationwide.
  • Helping advisors clean up their Form U4, including expungement of negative disclosures when possible.
  • Representation of individual brokers in transitions from one firm to another, including advice and counsel on new registered rep. agreements and promissory notes/forgivable loans, resolving financial obligations to the former firm, Form U5 matters relating to the departure, and Form U4 disclosure issues at the new firm, if any.
  • Counsel regarding Form U4, Form U5, Form BD disclosures.
  • General advice and counsel regarding FINRA and SEC rule compliance.
  • Drafting or review of industry documents such as registered rep. agreements, promissory notes and forgivable loan agreements, etc.
  • Assistance with registration matters, including statutory disqualification cases involving the MC-400 process with FINRA, or heightened supervision agreements involving state regulators.
  • Representation and counsel for brokers facing CFP® Board investigations and disciplinary actions.

Registered Investment Adviser / Investment Adviser Rep. Matters:

  • Legal counsel for new RIA start-ups and business formations.
  • Helping advisors clean up their Form U4, including expungement of negative disclosures when possible.
  • Assistance with disclosure matters involving Form ADV and Form U4.
  • Drafting/reviewing client advisory services agreements and investment adviser rep. agreements.
  • Registration issues involving SEC and state regulators.
  • Defense of SEC examinations and enforcement actions.
  • Defense of State of Georgia exams and enforcement actions.

CFP ® Board Defense

If you are a Certified Financial Planner ®, you should be careful when responding to a Notice of Investigation from the Certified Financial Planner Board of Standards, Inc. (the CFP Board). We have experience representing CFP (R) advisors through these types of investigations and actions. CLICK HERE for more information on these types of cases.

Insurance Regulation

The firm represents agencies and agents with registration/licensing matters and investigations before the Georgia Department of Insurance.

Why choose The Beck Law Firm, LLC for Regulatory Defense?

With 20+ yeas experience and involvement in more than 1,000 regulatory examinations, attorney Joel Beck brings a wealth of knowledge and experience to each client matter he undertakes. Joel has worked on matters involving fraud, sales practice violations (including unauthorized trades, selling away, undisclosed outside business activities, unsuitable recommendations, forgery, alteration of documents, improper use of discretion, conversion or misuse of funds etc.), disclosure issues (such as matters involving the Form U4, Form U5, Form BD and Form ADV), net capital matters, trade reporting and market regulation rules, broker-dealer and investment adviser registration matters, and more. Joel handles each regulatory defense case personally, and fights for the best outcome possible given the circumstances, while providing keen advice to the client along the way.

For more information on the FINRA and SEC regulatory examination and enforcement process, download Joel's e-book, A Stockbroker's Guide to Regulatory Investigations, and visit our blog.

Joel Beck is admitted to practice law in Georgia, with nationwide service for most FINRA and SEC securities regulatory matters. When your career is on the line, it's time to trust The Beck Law Firm, LLC.

The Financial Advisor's Guide to Regulatory Investigations by Joel R. Beck, Esq.

With involvement in over a thousand examinations, securities regulatory attorney Joel Beck understands the regulatory environment. To help his clients and others understand the process, which many of them have never before faced, he wrote The Financial Advisor's Guide to Regulatory Investigations. If you are a financial advisor who has received a regulatory request, such as a FINRA Rule 8210 letter, contact us today for a FREE copy of this valuable resource.

For more urgent or immediate needs relating to a FINRA or SEC examination, contact The Beck Law Firm, LLC today.

“Regulatory exams are serious matters and can have a significant impact on your career”

– Attorney Joel R. Beck

Request your FREE book today

 

Contact us Today

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

Lawrenceville Office
2090 Sugarloaf Parkway, Suite 135
Lawrenceville, GA 30045
678-344-5342

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