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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.

The Disclaimer

  • 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.

Copyright 2010

  • The original works appearing on this page are the intellectual property of Joel Beck and The Beck Law Firm, LLC. Copyright 2007-2010

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  • I welcome comments on most postings, and like to keep the discussion going. Comments are moderated and will not post until publisher review. Comments that don't relate to the topics and subject matter of the blog, and seek only to provide links for other websites, will not not be published. The Beck Law Firm, LLC and Joel Beck are not responsible for contents of the published comments, and do not necessarily share the same views as the commenter.

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January 2009

January 29, 2009

SEC Charges Nashville Man with Securities Fraud

Yesterday the SEC filed securities fraud charges against Gordon Grigg of Nashville, TN, and his company, ProTrust Management, Inc.  According to the SEC, Grigg held himself out as an investment advisor, though he was not registered with the SEC or a state regulator.  It is alleged that he defrauded clients out of at least $6.5 Million, telling clients that the funds were invested in the federal government's TARP (troubled asset rellief program) program and other non-existent securities.  The Court also froze the assets of Grigg and his firm.

In tough economic times like these, folks are looking for good places to invest their money.  But, don't believe everything that you hear.  Also, be sure to fully investigate the investments that are recommended to you.  And, be sure to check the background of your broker or advisor.  If they're not registered, and their firm is not registered, that's a red flag. 

Posted at 10:04 AM in Current Affairs | | Comments (0) | TrackBack (0)

January 06, 2009

Lost Money in your securities account in 2008? You may need to take action.

As January rolls on through, investors will begin to get year-end account statements for their investment accounts.  Be sure to study these carefully.  Pay attention to what happened in your account last year, what your gains and losses were, and what types of investments were or are in your account.  If you have not carefully reviewed your monthly or quarterly account statements during the past year, this is particularly important.  And, if your circumstances have changed  - for example you retired, lost a job, or your investment goals changed - you need to share that news with your financial advisor.   

If you find trades that you did not authorize, investments that do not fit your investment objectives with regards to your risk tolerance, asset allocation and investment goals, then you may have options available to recover losses.  Learn more about the common types of broker misconduct by clicking the link "Common Broker Misconduct" on the right of the page.  If you believe you've identified misconduct in your account, contact The Beck Law Firm today for a consultation. 

Posted at 09:28 AM in Investor Education/Tips | | Comments (0) | TrackBack (0)