Beck Addresses FA and SIA
by Axel Grossmann
On Wednesday, February 22, Joel R. Beck, JD, owner of The Beck Law Firm, LLC in Lawrenceville, spoke to the Georgia Southern Finance Association (FA) and the Southern Investment Association (SIA) at the Parker College of Business about “How Not to Ruin a Financial Services Career Before It Begins.” He started the conversation by walking the students through his career path starting with his undergraduate degree in business administration from Georgia Southern and his law degree from John Marshall Law School in Atlanta, where he was also a recipient of the West Publishing Company Award for Academic Excellence. Before he founded The Beck Law Firm, LLC in 2007, he worked ten years at NASD (now known as FINRA), where he served in various roles, including a six-year span as an attorney in the Enforcement Department.
Joel continued talking about the cornerstone of financial regulations and disclosures including what representatives must disclose in the FINRA Form U4. He emphasized that the consequences in the financial services industry when providing false or misleading information, and stressed to the students the importance of keeping a “clean” record when working in the industry. Joel discussed some of the problem areas when completing the FINRA Form U4, such as criminal history questions, unsatisfied liens/judgments, compromises with creditors & bankruptcy, as well as outside business activities. He explained the term “Willful” in the context of regulatory violations to the students and that it could lead to statutory disqualification. Additionally, he shared some of his experiences as the founder and managing attorney of The Beck Law Firm including cases consulting graduating students and professionals working in the financial services industry. At the end of his presentation, Joel answered many interesting questions from the students. Finally, he mentioned to the students that they will be fine if they follow the advice from Erk Russell, Georgia Southern Eagles head football coach from 1981 to 1989, to “Do Right.”
The students of the FA and SIA were very grateful to Mr. Beck for coming out and talking to them about this unique and very interesting topic.
The Beck Law Firm, LLC was founded in 2007. The firm, which initially focused on business law and estate planning, has earned a reputation among clients and other professionals for providing a high level of service, in addition to comprehensive, detailed, and practical legal advice. Through Peach State Wills and Trusts, the estate planning and probate division of the firm, clients have peace of mind knowing that the right plans are in place to address those “what ifs?” situations in life.
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