Blog

Feb
15
2019
Joel Beck discusses his review of FINRA's disciplinary actions reported for January 2019.
Feb
11
2019
We know that FINRA has been investigating numerous individuals who had worked at Fidelity, in connection with a benefit program they maintained, the Computer Equipment Purchase Assistance Program, which would allow employees to seek partial reimbursement for a personal computer purchase or related items every few years. Last week, on February 7, 2019, FINRA accepted […]
Feb
08
2019
Those with criminal charges against them in Georgia, that concluded without a restriction, may wish to seek to have the criminal history record information about the matter restricted, and the court file sealed, where possible under Georgia law, so that information about the matter does not prevent them from gaining employment, interfere with their business, or otherwise impact their livelihood.
Feb
07
2019
When two people go into business together, unless they do some good, detailed planning on the front end, some key issues are often not addressed. One of those is this: what happens when one of the owners dies? Does the deceased owner’s stock or ownership interest in the company get passed on to his or […]
Feb
06
2019
When people contact us wanting to form a new company, and explain that they want to go into business with someone else.I usually jokingly tell them that’s not a good idea, and then explain that if they don’t do some good planning on the front-end, they’ll likely endure a lot of headaches, stress, and much […]

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