The Financial Advisor’s Guide to Regulatory Investigations: What every Financial Advisor Needs to Know About Regulatory…

Financial advisors facing a regulatory investigation or enforcement action need to understand that their career might be on the line. Staying ignorant about the process and their options is not the best strategy. With this book, attorney Joel Beck arms financial advisors with: • a solid grasp on the basic investigative processes used by regulators, • identification of some pitfalls that might arise in investigations, • knowledge of how a regulatory action might otherwise impact the advisor’s career and career options, and • an understanding of common sanctions that might be imposed in an enforcement action. In this detailed and informative book, Joel shares his knowledge gained through a more than 20 year career in financial markets regulation to aid financial advisors facing a regulatory investigation or enforcement action.