Blog

Oct
29
2018
We've reviewed the reported enforcement cases by FINRA for July-September 2018 and identified the most commonly cited violations against individuals, as well as highlight two cases worth a mention.
Oct
25
2018
This NYT article praises a do-it-yourself approach to estate planning for some people, while providing misinformation about the true cost of good legal services, while also overlooking the real dangers of a DIY approach. In today's post we'll tackle this issue head on and explain why a DIY approach to wills and other planning documents can be dangerous and costly.
Oct
11
2018
What is the termination disclosure on the Form U5, and what does it mean? Attorney Joel Beck discusses that in today's post and video.
Oct
10
2018
What is the internal review disclosure question on the Form U5, and why is it used? Attorney Joel Beck discusses that in today's post and video.
Oct
09
2018
In today's video and blog post, Joel Beck highlights steps that a financial advisor needs to take with respect to the Form U5 when leaving a firm.

Financial Markets

Business Law