Joel Richard Beck's Legal Cases (13)

Dept. of Enforcement v. Charles

Practice Area: Securities Offerings

Date: Nov 03, 2010

Outcome: Sanctions in favor of Respondent

Description: Representing the respondent broker, obtained sanctions far short of a permanent bar sought by... more

Dept. of Enforcement v. Claggett, 2005000631501

Practice Area: Financial Markets And Services

Date: Sep 28, 2007

Outcome: Finding for Enforcement

Description: 2007 FINRA Discip. LEXIS 2, National Adjudicatory Council 9/28/07 (Office of Hearing Officers 9/12/06)

Dept. of Enforcement v. Cipriano

Practice Area: Financial Markets And Services

Date: Jul 26, 2007

Outcome: Finding for Enforcement

Description: 2007 NASD Discip. LEXIS 23, National Adjudicatory Council 7/26/07 (Office of Hearing Officers 8/10/... more

Dept. of Enforcement v. Siegel

Practice Area: Financial Markets And Services

Date: May 11, 2007

Outcome: Finding for Enforcement

Description: National Adjudicatory Council 5/11/07 - 2007 NASD Discip. LEXIS 20 (Office of Hearing Officers - 3/... more

Dept. of Enforcement v. Callava

Practice Area: Financial Markets And Services

Date: Sep 11, 2006

Outcome: Finding for Enforcement

Description: Office of Hearing Officers - 9/11/06 (2006 NASD Discip. LEXIS 45).

Dept. of Enforcement v. Nguyen

Practice Area: Financial Markets And Services

Date: May 22, 2006

Outcome: Finding for Enforcement

Description: Case E072004087801, Office of Hearing Officers 5/22/06 (2006 NASD Discip. LEXIS 15).

Dept. of Enforcement v. Kaweske

Practice Area: Financial Markets And Services

Date: Feb 10, 2006

Outcome: Finding for Enforcement

Description: Office of Hearing Officers, 2/10/06 (2006 NASD Discip. LEXIS 6) Case No. C07040042

Dept. of Enforcement v. Salaverria

Practice Area: Financial Markets And Services

Date: Feb 12, 2005

Outcome: Finding for Enforcement

Description: National Adjudicatory Council 2/12/05 (Case No. C07040077) 2005 NASD Discip. LEXIS 10.

Dept. of Enforcement v. LH Ross & Co et al

Practice Area: Financial Markets And Services

Date: Jan 25, 2005

Outcome: Finding for Enforcement

Description: Case C07040074, Office of Hearing Officers, 1/25/05 (2005 NASD Discip. LEXIS 15).

Dept. of Enforcement v. Timberlake

Practice Area: Financial Markets And Services

Outcome: Finding for Enforcement

Description: Office of Hearing Officers, C07010099 (5/27/03) 2003 NASD Discip. LEXIS 26