Blog

Nov
19
2019
In part 3 of this series on estate planning mistakes to avoid, Joel Beck discusses the problem of picking the wrong number of people for the job of executor, trustee, and guardian.
Nov
19
2019
FINRA's annual registration renewal season is underway, and it is time for both firms and registered representatives to consider their registration needs for 2020.
Nov
14
2019
In this video series, attorney Joel Beck discusses ten mistakes you want to avoid in your estate planning. In this episode 2, Joel discusses the mistake of not “hiring” the right people to serve in important roles such as executor, trustee, guardian, healthcare agent, and attorney in fact (agent under a power of attorney). But […]
Nov
11
2019
In the first video of this series, Joel Beck discusses the biggest mistake in estate planning - not having your own plan.
Oct
30
2019
FINRA recently released their 2019 report on exam findings. The report highlights several deficiencies found by the regulator, and firms can use this report to assess the strengths and weaknesses of their own WSPs and supervisory systems to help avoid some exam problems.

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