FINRA recently issued an investor alert providing investors with information about what happens when a brokerage firm closes its doors. In this time of economic uncertainty that many feel, as well as a time of market fluctuations, many investors are concerned about the safety of their investments and the financial condition of their brokerage firm. This investor alert provides information about what happens should a brokerage firm close, how SIPC protection works, the differences between SIPC and FDIC protections, and basic information about the regulatory framework governing brokerage firms.
Joel Beck
The Beck Law Firm, LLC - Georgia Securities Lawyer
About The Beck Law Firm, LLC
- Joel Beck, a former NASD Department of Enforcement lawyer, formed The Beck Law Firm, LLC in 2007. Joel's practice primarily focuses on representing broker-dealers, stockbrokers and investment advisers in disciplinary investigations and actions, customer complaints, arbitration claims and civil litigation, as well as representing investors in securities arbitration claims. Joel has been designated a Certified Regulatory and Compliance Professional (CRCP) by the NASD Institute at the Wharton School of Business, University of Pennsylvania. Click on the link above to visit our website and learn more.
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- The Beck Law Firm, LLC and Joel Beck, the author of this blog, provide this material for informational purposes only. While we believe the content to be accurate, we make no guarantee to that effect. Use of this blog does not create an attorney/client relationship and The Beck Law Firm, LLC does not represent you unless and until we have entered into a written representation agreement. The hiring of an attorney is an important decision and should not be based upon advertisements, including websites and blogs. Please contact us for additional information about our qualifications before making a decision.
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September 25, 2008
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- If you think you have been the victim of stockbroker fraud, call Joel Beck at The Beck Law Firm, LLC today for a brief, complimentary consultation. (678) 344-5342.
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