Blog

Sep
25
2018
Wells Fargo has reportedly terminated several investment bankers and analysts over issues regarding the after-hours meal expense policy, and are investigating many others for issues with this policy. If you've left Wells Fargo after an internal review into this matter, you need to prepare for a regulatory investigation by FINRA, as they look to determine whether there have been any rule violations for which enforcement action is appropriate. We've got critical information for those affected by these terminations.
Sep
25
2018
Some business owners want to make all their staff independent contractors and issue them a Form 1099. Attorney Joel Beck explains that such an action may lead to trouble.
Sep
23
2018
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.
Sep
21
2018
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.
Sep
19
2018
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.

Financial Markets

Business Law