ARTICLES - 2004

INVESTOR

Avoiding Common Investor Problems

Bond Investing Primer; Risks, Costs and Conflicts

NASD Advises How To Understand Stock Analyst Recommendations

Beware of Brokerage Firm Mortgages

Know The Risks Of OTC Stocks

Six Steps To Confirm Suitability

Investors Should Consult The Independent Stock Research Now Available

Scrutiny of Variable Annuity Sales Practices Intensifies

NASD Adds Customer Protections to Arbitration Settlements

Suitability of Investment Recommendations:  SEC Explains Financial Adviser's Obligations

Don't "Bet The Ranch" By Investing With Mortgage Proceeds

More Protection For Customers Who Have Claims and Awards Against Brokerage Firms

Don't Use Leverage To Diversify A Concentrated Stock Position

Beware of "High Yield" Bonds

 

PROFESSIONAL

Climbing Mount Everest; Or, The Difficulties Trustees Face In Proving Ratification Of Imprudent Investment Decisions

A Rep's Guide To Leaving The Firm And Setting Up Shop Elsewhere

Bond Recommendations:  Know Your Duties

Hello Co-Fiduciary:  Duties and Liabilities of the Rep Whose Accounts Include Retirement Plans

Fee Based Accounts; More Wrinkles Approach

CRD Expungement:  A Guide To Obtaining This Now Extraordiary Relief

Six Steps To Confirm Suitability

Suitability of Investment Recommendations:  SEC Explains Financial Adviser's Obligations

Trustees Must Be Wary of Concentrated Stock Positions

Tales From The Front: Communicate, But Don't Mislead

Avoid Recommending Mortgages to Purchase Investments

NASD Adds Obstacles To Brokerage Firm Asset Transfers

My Photo

JAMES J. ECCLESTON

About

Articles Archive

FinancialCounsel.com

  • FinancialCounsel.com, hosted by James J. Eccleston, is a companion website to this blog, along with EcclestonLaw.com. It contains complementary 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.

Disclaimer

  • James J. Eccleston of Eccleston Law Offices, P.C., the author of this blog and associated podcasts, provides this material as a public resource for informational purposes only. The information contained within is material of general interest and is not intended as, nor constitutes legal advice or investment advice and its use does not create or constitute a lawyer-client relationship. Always consult an attorney and/or investment adviser when building and protecting your wealth. You can only retain an attorney by entering into a formal fee agreement by signing an engagement letter. While we believe the content on this site to be accurate, we cannot make that guarantee and no one should act or rely on any information without first seeking professional legal counsel. We invite you to contact us at 312.332.0000 for more information.