Blog

Mar
15
2019
Joel Beck provides an overview of recent results in seeking expungement of criminal history disclosures from the Form U4 of clients.
Mar
08
2019
Joel Beck discusses a recent Court of Appeals of Georgia opinion that affirmed an injunction against a former employee of a business to prevent violations of a covenant not to compete and a covenant not to solicit. As discussed in this video and post, restrictive covenants in Georgia, if done correctly, can be enforced by the Georgia courts.
Feb
18
2019
FINRA releases their annual examination priorities each year. In today's post, we highlight issues that financial advisors should focus on, as they may be areas receiving increased regulatory scrutiny this year.
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 […]

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