Financial advisors who have been arrested, often have questions about what gets reported on their Form U4. And, they need to know, with certainty, what gets reported and what does not, so that they comply with their obligations under industry rules, AND work to protect their reputation as best they can.
Why is it a bad idea to leave your assets to the person who will raise your children if something happens to you? In today's post, attorney Joel Beck answers that question, and explains why naming a Trustee in your will to manage those assets is a better idea.
Common questions about LLCs include these: What is the Operating Agreement? What does the Operating Agreement do? Georgia business lawyer Joel Beck answers those questions in today's short post and video.
"Why does FINRA want to take my testimony with an OTR? What does it mean?" These are common questions from advisors who have been asked to come in for an interview with FINRA. Attorney Joel Beck shares his insights into why you've been asked to give testimony to the regulators.