ARTICLES - 2008
INVESTOR
Investor Angst, Regulatory Probes and Litigation Intensify Over Auction Rate Securities
Securities Regulator Issues Warning Regarding Reverse Mortgages
Auction Rate Securities Present a "Hotel California" Nightmare for Investors
Securities Regulator Issues Tips to Protect Financial Information
PROFESSIONAL
Securities Regulator Highlights Examination Priorities To Protect Investors
SEC Reveals Information To Help Financial Services Firms Survive A Compliance Examination
SEC Reveals Top 10 Compliance Issues For Investment Advisers
New Handbook Outlines Prudent Practices for Fiduciary Advisers
Hedge Fund Industry Announces New Guidelines Including Checklist for Developing Compliance Manual
Securities Regulators Reveal Widespread Compliance Deficiencies on the Part of Investment Advisers
FinancialCounsel.com, hosted by James J. Eccleston, is the companion website to this blog. It contains complimentary material of general interest to investors and financial services professionals. Investors will find material on securities arbitration to recover investment losses; industry and financial markets intelligence; and strategies for estate planning. Professionals have access to material on broker/adviser registration, regulation, compliance and disciplinary proceedings; industry and financial markets intelligence; strategies for estate planning; and broker/adviser employment litigation and injunctions, including defamation and non-competition/solicitation issues. 
James J. Eccleston heads the securities group at Shaheen, Novoselsky, Staat, Filipowski & Eccleston, P.C., a business law firm dedicated to closely-held business owners, senior executives and high net worth individuals. With three core practice groups - securities, general litigation, and corporate / transactional - and many subspecialties, SNSFE provides our clients a full spectrum of legal services, from start-up to succession planning. Visit us at snsfe-law.com or call 312.621.4400 for more information. 