We help financial services professionals protect their number one investment: their careers.
Experienced. Knowledgeable. Respected. When you need a lawyer to defend you before the regulators, you need a lawyer with these qualities. Someone who has the experience, the depth of knowledge, the respect of the regulators and others, and who can zealously represent and guide you through what is often a difficult process. With over two decades of regulatory and compliance experience – including work both as an investigator and an enforcement attorney for NASD (now FINRA) and as a defense attorney in private practice – Joel Beck knows the broker-dealer and investment adviser industries, and 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. We regularly advise individuals and companies regarding compliance in financial markets matters. Joel Beck is also a go-to professional for other attorneys, having served as an expert witness/consulting lawyer for other lawyers working on cases involving broker-dealers and investment advisers.
Some of Our Past Cases:
Broker-Dealer and Registered Representatives
- Defense of FINRA and SEC examinations and enforcement actions for clients nationwide.
- 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.
- Counsel regarding Form U4/Form U5/Form BD disclosures.
- 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.
- Representation and counsel for brokers facing CFP® Board investigations and disciplinary actions.
Registered Investment Adviser / Investment Adviser Rep. Matters:
- Registration issues involving SEC and state regulators.
- Drafting/reviewing client advisory services agreements and investment adviser rep. agreements.
- Assistance with disclosure matters involving Form ADV and Form U4.
- Defense of SEC examinations and enforcement actions.
- Defense of State of Georgia exams and enforcement actions.
Why choose The Beck Law Firm, LLC for Regulatory Defense?
With involvement in more than 1,000 regulatory examinations, plus countless other compliance matters for individuals and firms, attorney Joel Beck brings a wealth of experience to each client matter he undertakes. Joel has worked on matters involving fraud, sales practice violations, 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, as well as 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.